Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 4111 (Restricted Firm Obligations) and FINRA Rule 9561 (Procedures for Regulating Activities Under Rule 4111)

Submitted Comments
Jul. 20, 2021	Michael Garawski, Associate General Counsel, FINRA Office of General Counsel, Associate General Counsel
Mar. 4, 2021	Michael Garawski, Associate General Counsel, FINRA Office of General Counsel
Dec. 29, 2020	Kevin M. Carroll, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association
Dec. 28, 2020	Ruben Huertero, Legal Intern, Securities Arbitration Clinic St. Vincent DePaul Legal Program, Inc. and Christine Lazaro, Director of the Securities Arbitration Clinic and Professor of Clinical Legal Education
Dec. 28, 2020	David P. Meyer, President, Public Investors Advocate Bar Association
Dec. 28, 2020	Lisa Hopkins, President, General Counsel and Senior Deputy Commissioner of Securities, West Virginia, North American Securities Administrators Association, Inc.
Dec. 28, 2020	Lev Bagramian, Senior Securities Policy Advisor, Better Markets and Michael J. Hughes, Program & Research Assistant, Better Markets
Dec. 21, 2020	Andrew R. Harvin, Doyle, Restrepo, Harvin & Robbins, L.L.P
Dec. 15, 2020	Richard J. Carlesco Jr., CEO, IBN Financial Services, Inc.