Comments on FINRA Rulemaking
Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Release Information on BrokerCheck® Relating to Firm Designation as a Restricted Firm
[Release No. 34-95092; File No. SR-FINRA-2022-015]
| Nov. 25, 2022 | Michael Garawski, Associate General Counsel, OGC Regulatory Practice & Policy, Financial Industry Regulatory Authority, Inc. |
| Nov. 25, 2022 | Michael Garawski, Associate General Counsel, Financial Industry Regulatory Authority |
| Oct. 12, 2022 | Andrew Hartnett, NASAA President and Deputy Administrator for Securities, Iowa Insurance Division |
| Oct. 10, 2022 | William A. Jacobson, Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic and Erik Olson, Cornell Law School, Class of 2024 |
| Sep. 21, 2022 | Steven B. Caruso |
| Sep. 15, 2022 | Michael Garawski, Associate General Counsel, FINRA Office of General Counsel, Financial Industry Regulatory Authority |
| Jul. 8, 2022 | Mark Quinn, Director of Regulatory Affairs, Cetera Financial Group |
| Jul. 8, 2022 | Pubic Investors Advocate Bar Association |
| Jul. 7, 2022 | Nicole G. Iannarone, Drexel University, Thomas R. Kline School of Law, and Christine Lazaro, St. John's University School of Law |
| Jul. 6, 2022 | Francis J. Skinner, Esq., CLO |
