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Order Approving a Proposed Rule Change Adopting FINRA Rules Regarding Books and Records in the Consolidated FINRA Rulebook
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Document Date: 2011-01-28 15:50:04

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File Size: 127,05 KB

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Company

Financial Industry Regulatory Authority Inc. / Sutherland Asbill & Brennan LLP / /

Facility

NYSE facility / Cornell Securities Law Clinic / Off-Hours Trading Facility / /

Organization

Cornell University Law School / Cornell / Securities Industry and Financial Markets Association / Committee of Annuity Insurers / Securities and Exchange Commission / NASD / FINRA / /

Person

Holly H. Smith / Elizabeth M. Murphy / Susan S. Krawczyk / Melissa MacGregor / William A. Jacobson / /

Position

Professor of Law and Director / manager / Managing Director / manager denoting / registered representative / General / dealer / General Counsel / Secretary / officer / /

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http /

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