Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 5110 (Corporate Financing Rule - Underwriting Terms and Arrangements) to Make Substantive, Organizational and Terminology Changes

Submitted Comments (Click here for meetings with SEC officials)
Nov. 13, 2019	Jeanette Wingler, Associate General Counsel, FINRA
Nov. 8, 2019	Jeanette Wingler, Associate General Counsel, FINRA
Aug. 23, 2019	Aseel M. Rabie, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association (SIFMA)
Aug. 16, 2019	Stuart J. Kaswell, Law Office of Stuart J. Kaswell, LLC
Aug. 14, 2019	Joseph McLaughlin and W. Hardy Callcott, Sidley Austin LLP
Jul. 11, 2019	Jeanette Wingler, Associate General Counsel, FINRA
Jun. 5, 2019	Davis Polk & Wardwell
May 30, 2019	Aseel Rabie, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association
May 30, 2019	Robert E. Buckholz, Chair, Federal Regulation of Securities Committee, Business Law Section, American Bar Association
May 21, 2019	Eversheds Sutherland (US) LLP, on behalf of the Committee of Annuity Insurers
May 17, 2019	Stuart J. Kaswell
May 14, 2019	Suzanne Rothwell, Managing Member, Rothwell Consulting, LLC
Meetings with SEC Officials (Click here for submitted comments from the public)
Dec. 9, 2019	Memorandum from the Office of Commissioner Hester M. Peirce regarding a November 21, 2019, telephone call with Stuart Kaswell