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Comments on FINRA Rulemaking
Notice of Filing of a Proposed Rule Change to Amend Rule 4512 (Customer Account Information) and Adopt FINRA Rule 2165 (Financial Exploitation of Specified Adults)
(Release No. 34-79215; File No. SR-FINRA-2016-039)
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| Jan. 19, 2017 | Jeanette Wingler, Associate General Counsel, FINRA |
| Dec. 28, 2016 | Rick Fleming, Invester Advocate, U.S. Securities and Exchange Commission |
| Dec. 5, 2016 | Manisha Kimmel, Chief Regulatory Officer, Wealth Management, Thomson Reuters |
| Nov. 28, 2016 | Jesse Hill, Principal, Government and Regulatory Relations, Edward Jones |
| Nov. 28, 2016 | Michael Nicholas, Chief Executive Officer, Bond Dealers of America |
| Nov. 28, 2016 | Jigar Gandhi, Counsel, American Council of Life Insurers |
| Nov. 28, 2016 | David P. Bergers, General Counsel, LPL Financial LLC |
| Nov. 28, 2016 | Richard Foster, Financial Services Roundtable, Washington, District of Columbia |
| Nov. 28, 2016 | Mike Rothman, President, NASAA, and Minnesota Commissioner of Commerce |
| Nov. 28, 2016 | Atasia Richardsonand Alyse Velger, Student Interns, and Elissa Germaine, Supervising Attorney; Pace Investor Rights Clinic, Elisabeth Haub School of Law, Pace University, White Plains, New York |
| Nov. 28, 2016 | Lisa J. Bleier, Managing Director and Associate General Counsel, SIFMA, Washington, District of Columbia |
| Nov. 28, 2016 | Marnie C. Lambert, President, Public Investors Arbitration Bar Association, Norman, Oklahoma |
| Nov. 28, 2016 | David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute |
| Nov. 28, 2016 | Carrie L. Chelko, Esquire, Chief Counsel, Lincoln Financial Network |
| Nov. 28, 2016 | Nicole G. Iannarone, Director, Investor Advocacy Clinic, Assistant Clinical Professor, and David Hsu, Student Intern; Georgia State University College of Law |
| Nov. 28, 2016 | William A. Jacobson, Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic, and Alexander K. Brehan, Candidate for J.D., 2017; Cornell Law School, Ithaca, New York |
| Nov. 28, 2016 | W. Alan Smith, Deputy General Counsel, Janney Montgomery Scott LLC, Philadelphia, Pennsylvania |
| Nov. 28, 2016 | Robert J. McCarthy, Director of Regulatory Policy, Wells Fargo Advisors |
| Nov. 28, 2016 | Eric Arnold and Clifford Kirsch, Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers |
| Nov. 28, 2016 | Catherine J. Weatherford, President & CEO, Insured Retirement Institute |
| Nov. 28, 2016 | Gary Sanders, Counsel and Vice President, Government Relations, National Association of Insurance and Financial Advisors |
| Nov. 28, 2016 | Tamara K. Salmon, Associate General Counsel, Investment Company Institute |
http://www.sec.gov/comments/sr-finra-2016-039/finra2016039.shtml
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