Comments on FINRA Rulemaking

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change to Adopt Supplementary Material .18 (Remote Inspections Pilot Program) under FINRA Rule 3110 (Supervision)

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Date Received
Date Letter Type Commenter Name
Public Comment Andrew Hartnett, NASAA President and Deputy Commissioner, Iowa Insurance Division
Public Comment David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute
Public Comment Sandip Khosla, General Counsel, Two Sigma Securities, LLC
Public Comment Sam Smith
Public Comment Kosha Dalal, Vice President and Associate General Counsel, Office of General Counsel, Financial Industry Regulatory Authority, Inc.
Public Comment Andrew Hartnett, NASAA President and Deputy Commissioner, Iowa Insurance Division, North American Securities Administrators Association, Inc.
Public Comment David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute
Public Comment Eversheds Sutherland LLP for the Committee of Annuity Insurers
Public Comment Hugh D. Berkson, President, Public Investors Arbitration Bar Association
Public Comment Mark Quinn, Director of Regulatory Affairs, Cetera Financial Group
Public Comment Sarah Kwak, Associate General Counsel, FINRA
Public Comment Jennifer L. Szaro, CRCP, Chief Compliance Officer, XML Securities, LLC, et al.
Public Comment Mark Seffinger, Chief Compliance Officer, LPL Financial
Public Comment Kevin Zambrowicz, Managing Director & Associate General Counsel, Securities Industry and Financial Markets Association and Bernard V. Canepa, Managing Director & Associate General Counsel, Securities Industry and Financial Markets Association
Public Comment Kevin Zambrowicz, Managing Director & Associate General Counsel, Securities Industry and Financial Markets Association and Bernard V. Canepa, Managing Director & Associate General Counsel, Securities Industry and Financial Markets Association
Public Comment Erica Green, Principal Chief Compliance Officer, Vanguard Marketing Corporation
Public Comment Christopher A. Iacovella, Chief Executive Officer, American Securities Association
Public Comment David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute
Public Comment Dee O' Neill, SVP, Head of Branch Examinations, Raymond James & Associates, Inc., Raymond James Financial Services, Inc.
Public Comment Erica Green, Principal, Chief Compliance Officer, Vanguard Marketing Corporation
Public Comment Eversheds Sutherland (US) LLP
Public Comment Gail Merken, Chief Compliance Officer, Janet Dyer, Chief Compliance Officer, John McGinty, Chief Compliance Officer, Fidelity Investments
Public Comment Gavin Lucca, Manager, Branch Audit, Commonwealth Financial Network®
Public Comment Helen Barnhill, Teachers Insurance and Annuity Association of America
Public Comment Jacqueline A. Beauprez, Senior Vice President, General Counsel and Chief Compliance, D.A. Davidson & Co. and Brian Zellner, Vice President, Director of Wealth Management Compliance, D.A. Davidson & Co.
Public Comment Jennifer L. Szaro, CRCP, Chief Compliance Officer
Public Comment Jim McHale, Executive Vice President, Head of WIM Compliance, Wells Fargo & Company and Robert Mulligan, Executive Vice President, Global Head of CIB Compliance, Wells Fargo & Company
Public Comment Justine E. Tobin, Managing Partner, Tobin & Company Investment Banking Group LLC
Public Comment Karol Sierra-Yanez, Lead Counsel, Broker-Dealer and Investment Advisor Practice Group, MML Investors Services, LLC
Public Comment Kevin Zambrowicz, Managing Director & Associate General Counsel, Securities Industry and Financial Markets Association and Bernard V. Canepa, Managing Director & Associate General Counsel, Securities Industry and Financial Markets Association

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2022-021
Release Number
34-95452
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