Looking for information about FINRA OFFICE OF THE CORPORATE SECRETARY? Follow the links below to find all the information you are interested in. Addresses, telephones, emails, working hours and other useful information.
Office of the Corporate Secretary FINRA
- https://www.finra.org/sites/default/files/2019-06/19-12_Dimensional_Comment.pdf
- Office of the Corporate Secretary . FINRA . 1735 K Street, NW . Washington, DC 20006-1506 . Re: FINRA Request for Comment on a Proposed Pilot Program to Study Recommended Changes to Corporate Bond Block Trade Dissemination (FINRA Regulatory Notice 19-12) Dear Ms. Asquith:
Office of the Corporate Secretary FINRA
- https://www.finra.org/sites/default/files/NoticeComment/FINRA_Pennying_final-a%20%5BMike%20Nicholas%20-%20Bond%20Dealers%20of%20America%5D.pdf
- Office of the Corporate Secretary FINRA 1735 K St NW Washington DC 20006-1506 Dear Ms. Mitchell, The Bond Dealers of America is pleased to comment on FINRA Notice 20-29, “FINRA Requests Comment on the Practice of Pennying in the orporate ond Market” (the “Notice”). BDA is …
The Office of the Corporate Secretary FINRA
- https://www.finra.org/sites/default/files/notice_comment_file_ref/17-41_STA_comment.pdf
- The Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 Re: FINRA Retrospective Rule Review on the Effectiveness and Efficiency of Its Payment for Market Making Rule; Regulatory Notice 17-41 Dear Ms. Mitchell: The Security Traders Association, (“STA”)1 welcomes the opportunity to offer
Office of Corporate Secretary, FINRA
- https://www.finra.org/sites/default/files/18-08_Fortune-Financial_comment.pdf
- Member FINRA • SIPC April, 24, 2018 Ms. Jennifer Piorko Mitchell Office of Corporate Secretary, FINRA 1735 K Street, NW Washington, DC 20006‐1506 Dear Ms. Mitchell and members of the FINRA Office of General Council, I am writing this letter to express my full support for Regulatory Notice 18‐08. ...
Office of the Corporate Secretary FINRA 1735 K Street, NW
- https://www.finra.org/sites/default/files/2019-06/19-12_Vanguard_Comment.pdf
- Office of the Corporate Secretary . FINRA . 1735 K Street, NW . Washington, DC 20006-1506 . Re: Regulatory Notice 19-12; Request for Comment on a Proposed Pilot Program Related to Corporate Bond Block Trade Dissemination. Dear Ms. Asquith: Vanguard. 1 appreciates the opportunity to provide our comments to the Financial Industry
Office of the Corporate Secretary FINRA 1735 K Street, NW
- https://www.finra.org/sites/default/files/2019-10/19-27_WellsFargoCompany_comment.pdf
- Via E-mail: [email protected]. Ms. Jennifer Piorko Mitchell . Office of the Corporate Secretary . FINRA . 1735 K Street, NW . Washington, DC 20006-1506 . RE: Regulatory Notice 19- 27: Retrospective Rule Review - FINRA Requests Comment on Rules and Issues Relating to Senior Investors . …
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