Regulation
Regulatory Notice 09-25
Proposed Consolidated FINRA Rules Governing Suitability and Know-Your-Customer Obligations; Comment Period Expired: June 29, 2009
Executive Summary
As part of the process to develop a new consolidated rulebook (the Consolidated FINRA Rulebook), FINRA is requesting comment on proposed consolidated FINRA rules governing suitability and know-your-customer (KYC) obligations.
The text of the proposed rules is set forth in Attachment A.
Questions regarding this Notice should be directed to James S. Wrona, Associate Vice President and Associate General Counsel, Office of General Counsel, at (202) 728-8270.
This letter was submitted by 436 individuals. Please contact us to request a list of commenters.
This letter was submitted by approximately 1,245 individuals. Please contact us to request a list of commenters.
| View Full Notice | PDF 102 KB |
The views, expressions, findings and opinions expressed in the comments on this Web page are solely those of the author(s) and FINRA accepts no responsibility for the content of the comments.
| Comments By | Date Received |
|---|---|
| Bingham & Lea, PC (PDF 16 KB) | 6/1/2009 |
| NPB Financial Group, LLC (PDF 48 KB) | 6/2/2009 |
| The IASBDA (PDF 26 KB) | 6/3/2009 |
| Financial Brokerage, Inc. (PDF 15 KB) | 6/3/2009 |
| Summit Theological (PDF 14 KB) | 6/5/2009 |
| Antonio L. Amante (PDF 13 KB) | 6/5/2009 |
| S. Robert Hartman (PDF 14 KB) | 6/6/2009 |
| William Baker (PDF 13 KB) | 6/6/2009 |
| The Howard Group Financial Services (PDF 66 KB) | 6/8/2009 |
| G. T. Kahl Financial Services LLC (PDF 14 KB) | 6/8/2009 |
| Epstein Insurance Services (PDF 21 KB) | 6/8/2009 |
| The Merlin Group (PDF 14 KB) | 6/8/2009 |
| A. Rhodes Wilson & Associates, Inc. (PDF 102 KB) | 6/16/2009 |
| White & Associates (PDF 324 KB) | 6/16/2009 |
| Compensation Designs LLC (PDF 78 KB) | 6/16/2009 |
| HD Vest Investments (PDF 82 KB) | 6/16/2009 |
| Compensation Designs, LLC (PDF 80 KB) | 6/16/2009 |
| Raymond James (PDF 76 KB) | 6/16/2009 |
| Erwin Financial (PDF 87 KB) | 6/16/2009 |
| Raymond James Financial Services, Inc. (PDF 92 KB) | 6/16/2009 |
| White and Associates (PDF 173 KB) | 6/16/2009 |
| Raymond James Financial Services (PDF 79 KB) | 6/16/2009 |
| Decker Financial Group (PDF 92 KB) | 6/16/2009 |
| CG Financial Services (PDF 149 KB) | 6/16/2009 |
| David Bowman (PDF 76 KB) | 6/16/2009 |
| FPI Associates (PDF 86 KB) | 6/16/2009 |
| Pennington, Bass & Associates (PDF 93 KB) | 6/16/2009 |
| Allard Financial Advisors, LLC (PDF 86 KB) | 6/16/2009 |
| ViewPoint Investment Group (PDF 87 KB) | 6/16/2009 |
| Savage Associates (PDF 107 KB) | 6/17/2009 |
| Financial Principles, LLC (PDF 98 KB) | 6/17/2009 |
| M.J. Smith and Associates (PDF 84 KB) | 6/17/2009 |
| Mark Stevens (PDF 78 KB) | 6/17/2009 |
| M.J. Smith and Associates (PDF 89 KB) | 6/17/2009 |
| Raymond James Financial Services (PDF 79 KB) | 6/17/2009 |
| Savage Associates (PDF 88 KB) | 6/17/2009 |
| Financial Network Investment Corporation (PDF 88 KB) | 6/17/2009 |
| Richardson & Stout Financial Services, Inc. (PDF 148 KB) | 6/17/2009 |
| Richardson & Stout Financial Services, Inc. (PDF 159 KB) | 6/17/2009 |
| Raymond James (PDF 76 KB) | 6/17/2009 |
| Savage Associates (PDF 103 KB) | 6/17/2009 |
| Savage Associates (PDF 73 KB) | 6/17/2009 |
| Lincoln Financial Securities (PDF 76 KB) | 6/17/2009 |
| Savage Associates (PDF 96 KB) | 6/17/2009 |
| C&M Capital Resources, Inc. (PDF 86 KB) | 6/17/2009 |
| Antone Keller (PDF 83 KB) | 6/17/2009 |
| M.J. Smith and Associates (PDF 86 KB) | 6/17/2009 |
| Savage Associates (PDF 99 KB) | 6/17/2009 |
| Savage Associates (PDF 84 KB) | 6/17/2009 |
| Savage Associates (PDF 87 KB) | 6/17/2009 |
| DeWitt Stern Group Planning Services (PDF 95 KB) | 6/17/2009 |
| Savage Associates (PDF 99 KB) | 6/17/2009 |
| M.J. Smith and Associates (PDF 86 KB) | 6/17/2009 |
| Daly Insurance Brokerage Services, LLC (PDF 102 KB) | 6/17/2009 |
| Daly Insurance Brokerage Services, LLC (PDF 89 KB) | 6/17/2009 |
| Savage Associates (PDF 96 KB) | 6/17/2009 |
| Raymond James Financial Services (PDF 77 KB) | 6/17/2009 |
| Richarson & Stout Financial Services, Inc. (PDF 158 KB) | 6/17/2009 |
| William Franke (PDF 79 KB) | 6/17/2009 |
| Pamela Fritz (PDF 119 KB) | 6/17/2009 |
| Savage Associates (PDF 94 KB) | 6/18/2009 |
| Plan Member Securities Corporation (PDF 120 KB) | 6/18/2009 |
| Savage Associates (PDF 99 KB) | 6/18/2009 |
| Woodbury Financial Services, Inc. (PDF 112 KB) | 6/18/2009 |
| Frederick T. Greene, CIMA (PDF 40 KB) | 6/18/2009 |
| Great American Advisors, Inc. (PDF 45 KB) | 6/19/2009 |
| Financial Network Investment Corporation (PDF 87 KB) | 6/19/2009 |
| Flynn Associates (PDF 93 KB) | 6/19/2009 |
| Stuart D. Boxenbaum (PDF 23 KB) | 6/21/2009 |
| Raymond James Financial Serives (PDF 95 KB) | 6/22/2009 |
| WFG Associates, Inc. (PDF 84 KB) | 6/22/2009 |
| Max Greene Financial Services Group, LLC (PDF 61 KB) | 6/22/2009 |
| Abel/Noser Corp. (PDF 16 KB) | 6/22/2009 |
| Intermountain Financial Advisors, Inc. (PDF 137 KB) | 6/22/2009 |
| Wishard Insurance (PDF 44 KB) | 6/23/2009 |
| Buckeye Planning Concepts, Inc. (PDF 324 KB) | 6/23/2009 |
| Tower Square Securities, Inc. (PDF 85 KB) | 6/23/2009 |
| H.E. Sechman Retirement Planning (PDF 79 KB) | 6/23/2009 |
| McGreevy Associates (PDF 90 KB) | 6/23/2009 |
| Profinium Insurance Agency (PDF 54 KB) | 6/23/2009 |
| Farmers Financial Solutions, LLC (PDF 42 KB) | 6/23/2009 |
| Cure Financial (PDF 46 KB) | 6/23/2009 |
| American Savings Life Insurance Company (PDF 86 KB) | 6/23/2009 |
| The Syverson Agency (PDF 82 KB) | 6/23/2009 |
| Pacific Guardian Life (PDF 106 KB) | 6/23/2009 |
| Glenwood Insurance Agency (PDF 74 KB) | 6/23/2009 |
| Thrivent Financial for Lutherans (PDF 321 KB) | 6/23/2009 |
| New York Life Insurance Co. (PDF 64 KB) | 6/23/2009 |
| Modern Woodmen of America (PDF 56 KB) | 6/23/2009 |
| Adam J. Edwards, CLU, ChFC (PDF 113 KB) | 6/23/2009 |
| Peckinpaugh Financial Group (PDF 36 KB) | 6/23/2009 |
| Park Avenue Investments (PDF 106 KB) | 6/23/2009 |
| Bret Gardner (PDF 126 KB) | 6/23/2009 |
| Barr Associates, Inc. (PDF 43 KB) | 6/23/2009 |
| NAIFA-WV (PDF 27 KB) | 6/23/2009 |
| Marcum Benefit (PDF 96 KB) | 6/23/2009 |
| Vantage Wealth Management, LLC (PDF 50 KB) | 6/23/2009 |
| American Savings Life Insurance Company (PDF 112 KB) | 6/23/2009 |
| Northwestern Mutual Financial Network (PDF 80 KB) | 6/23/2009 |
| Morgan, Lewis & Brockius (PDF 148 KB) | 6/23/2009 |
| Thrivent Financial (PDF 113 KB) | 6/23/2009 |
| AXA Advisors LLC (PDF 87 KB) | 6/23/2009 |
| Ameriprise Financial Services (PDF 105 KB) | 6/23/2009 |
| Udell Associates (PDF 106 KB) | 6/23/2009 |
| Taggart Company (PDF 105 KB) | 6/23/2009 |
| Brian R. Phares (PDF 67 KB) | 6/23/2009 |
| Ameritas Investment Corp. (PDF 110 KB) | 6/23/2009 |
| Chris Everett (PDF 31 KB) | 6/23/2009 |
| David P. Bartnett (PDF 35 KB) | 6/23/2009 |
| American Family Insurance (PDF 39 KB) | 6/23/2009 |
| J.A. Counter & Associates, Inc. (PDF 120 KB) | 6/23/2009 |
| Gerald W. Craft (PDF 294 KB) | 6/23/2009 |
| Buster West (PDF 45 KB) | 6/23/2009 |
| Bruce Hubbard (PDF 64 KB) | 6/23/2009 |
| Metlife (PDF 124 KB) | 6/23/2009 |
| New York Life Insurance Company (PDF 48 KB) | 6/23/2009 |
| John Hancock Financial Network (PDF 25 KB) | 6/23/2009 |
| Stephen E. Harris (PDF 229 KB) | 6/23/2009 |
| Headley Scott (PDF 24 KB) | 6/23/2009 |
| John S. Tuttle, CLU, ChFC (PDF 63 KB) | 6/23/2009 |
| Ackley Financial Group (PDF 26 KB) | 6/23/2009 |
| Mark Cannon Insurance (PDF 29 KB) | 6/23/2009 |
| McGreevy & Associates (PDF 20 KB) | 6/23/2009 |
| MWA Financial Services Inc. (PDF 29 KB) | 6/23/2009 |
| JC Leap Insurance Services (PDF 91 KB) | 6/23/2009 |
| Phares Financial Services, Inc. (PDF 56 KB) | 6/23/2009 |
| Richard C. Orvis (PDF 62 KB) | 6/23/2009 |
| Indiana Farm Bureau Insurance (PDF 20 KB) | 6/23/2009 |
| Ken Tynes, LUTCF (PDF 49 KB) | 6/23/2009 |
| Farm Bureau Financial Services (PDF 18 KB) | 6/23/2009 |
| Edwin McKnight (PDF 89 KB) | 6/23/2009 |
| Rick Henks (PDF 24 KB) | 6/23/2009 |
| First Capital Benefits Group (PDF 21 KB) | 6/23/2009 |
| Principal (PDF 20 KB) | 6/23/2009 |
| NMFN (PDF 27 KB) | 6/23/2009 |
| Steven D. Jedlund (PDF 56 KB) | 6/23/2009 |
| Fifth Avenue Agency (PDF 17 KB) | 6/23/2009 |
| Richard N. Bowes (PDF 16 KB) | 6/23/2009 |
| Eagle Strategies LLC (PDF 21 KB) | 6/23/2009 |
| Innovate Financial, Inc. (PDF 22 KB) | 6/23/2009 |
| True Noth Companies (PDF 18 KB) | 6/23/2009 |
| IMG Financial Group (PDF 20 KB) | 6/23/2009 |
| Douglas Osborne (PDF 21 KB) | 6/23/2009 |
| Jim Freudenberger (PDF 19 KB) | 6/23/2009 |
| Thomas & Wendy Schreiner (PDF 26 KB) | 6/23/2009 |
| David Montemurro (PDF 20 KB) | 6/23/2009 |
| Derenda Keating (PDF 18 KB) | 6/23/2009 |
| Echelmeier Insurance Agency (PDF 22 KB) | 6/23/2009 |
| John Korzec (PDF 23 KB) | 6/23/2009 |
| Mgump6 (PDF 22 KB) | 6/23/2009 |
| Jay Eslick (PDF 18 KB) | 6/23/2009 |
| Profit Plans LLC (PDF 27 KB) | 6/23/2009 |
| The Forker Company (PDF 43 KB) | 6/23/2009 |
| Wisconsin College Planning, LLC (PDF 115 KB) | 6/23/2009 |
| F. Joseph Pickett (PDF 24 KB) | 6/23/2009 |
| American National Insurance (PDF 18 KB) | 6/23/2009 |
| Michael Schmitz (PDF 19 KB) | 6/23/2009 |
| AIC Invest (PDF 25 KB) | 6/23/2009 |
| Jerry N. Grove (PDF 28 KB) | 6/23/2009 |
| Donald E. Hedrick (PDF 24 KB) | 6/23/2009 |
| Ralph Ford (PDF 47 KB) | 6/23/2009 |
| IPASS (PDF 17 KB) | 6/23/2009 |
| New York Life Insurance Company (PDF 18 KB) | 6/23/2009 |
| Cullum & Burks Securities, Inc. (PDF 24 KB) | 6/23/2009 |
| Sternman (PDF 21 KB) | 6/23/2009 |
| Jerry Kuhlmann (PDF 16 KB) | 6/23/2009 |
| McKnight Financial (PDF 89 KB) | 6/23/2009 |
| Country Financial (PDF 16 KB) | 6/23/2009 |
| Wollman Insurance (PDF 16 KB) | 6/23/2009 |
| Lone Star Advisory Group (PDF 22 KB) | 6/23/2009 |
| David J. Fisher (PDF 19 KB) | 6/23/2009 |
| Lorne Hargis (PDF 26 KB) | 6/23/2009 |
| Capital Financial Solutions (PDF 32 KB) | 6/23/2009 |
| Mike Nitchen (PDF 18 KB) | 6/23/2009 |
| Denwood Parrish (PDF 19 KB) | 6/23/2009 |
| First Western Agency, LLC (PDF 20 KB) | 6/23/2009 |
| Dennis C. Wong, CLU, ChFC, RHU (PDF 16 KB) | 6/23/2009 |
| Axcess Financial Group (PDF 32 KB) | 6/23/2009 |
| Victor W. Kirsch (PDF 18 KB) | 6/23/2009 |
| Mehringer Associates (PDF 21 KB) | 6/23/2009 |
| Highland Capital Brokerage Northwest (PDF 19 KB) | 6/23/2009 |
| Anrest Bank Group (PDF 26 KB) | 6/23/2009 |
| Paul Zietlow (PDF 20 KB) | 6/23/2009 |
| Northwestern Mutual (PDF 59 KB) | 6/23/2009 |
| Wayne Hillman (PDF 19 KB) | 6/23/2009 |
| Tax Favored Benefits, Inc. (PDF 28 KB) | 6/23/2009 |
| Susan M. Unger (PDF 22 KB) | 6/23/2009 |
| Benfinancial (PDF 76 KB) | 6/23/2009 |
| Peter L. Borowski (PDF 16 KB) | 6/23/2009 |
| Lee C Staniar CLU, ChFC (PDF 18 KB) | 6/23/2009 |
| Scott M. Hinman (PDF 26 KB) | 6/23/2009 |
| Ciporkin Care (PDF 66 KB) | 6/23/2009 |
| Highland Capital Brokerage (PDF 18 KB) | 6/23/2009 |
| Rod L. Goeman (PDF 24 KB) | 6/23/2009 |
| James R. Gray (PDF 24 KB) | 6/23/2009 |
| Douglas R. Franklin (PDF 39 KB) | 6/23/2009 |
| Andraos Capital Management (PDF 22 KB) | 6/23/2009 |
| Mary Ann Wagner LUTCF, CSA, FICF (PDF 19 KB) | 6/23/2009 |
| Owen Miller (PDF 17 KB) | 6/23/2009 |
| State Farm Insurance (PDF 20 KB) | 6/23/2009 |
| David Hill (PDF 19 KB) | 6/23/2009 |
| Principal (PDF 40 KB) | 6/23/2009 |
| Tom Moore (PDF 19 KB) | 6/23/2009 |
| Rory C Wold (PDF 19 KB) | 6/23/2009 |
| Harry P. Knickerbocker, III (PDF 17 KB) | 6/23/2009 |
| David M Schuman, CLU (PDF 19 KB) | 6/23/2009 |
| Executive Brokerage Services, Inc. (PDF 60 KB) | 6/24/2009 |
| State Farm Insurance (PDF 56 KB) | 6/24/2009 |
| Charles Fradkin (PDF 25 KB) | 6/24/2009 |
| Barbara Silvey (PDF 29 KB) | 6/24/2009 |
| Florida International Univerisy (PDF 464 KB) | 6/24/2009 |
| Barry D. Estell (PDF 277 KB) | 6/24/2009 |
| Julie J. Gebert (PDF 97 KB) | 6/24/2009 |
| Debra J. Blair (PDF 48 KB) | 6/24/2009 |
| Marlene Ciapetti (PDF 104 KB) | 6/24/2009 |
| Glen T. Castle (PDF 29 KB) | 6/24/2009 |
| Wayne F. Gledhill (PDF 37 KB) | 6/24/2009 |
| Carol Guerieri (PDF 25 KB) | 6/24/2009 |
| John Floyd (PDF 21 KB) | 6/24/2009 |
| Liberty Agency (PDF 23 KB) | 6/24/2009 |
| Heath Threadgill, LUTCF (PDF 20 KB) | 6/24/2009 |
| OFG Financial (PDF 25 KB) | 6/24/2009 |
| Stoltmann Law Offices, P.C. (PDF 27 KB) | 6/24/2009 |
| Ted Weaver (PDF 26 KB) | 6/24/2009 |
| New York Life Insurance Co (PDF 27 KB) | 6/24/2009 |
| Dennis Hruby (PDF 22 KB) | 6/24/2009 |
| G. T. Powers, Jr. & Associates (PDF 74 KB) | 6/24/2009 |
| CFH Financial Services, Inc. (PDF 23 KB) | 6/24/2009 |
| Merrell E. Dean (PDF 21 KB) | 6/24/2009 |
| PSFIN (PDF 125 KB) | 6/24/2009 |
| LTCI Partners, LLC (PDF 66 KB) | 6/24/2009 |
| James W. Gates, Jr. (PDF 27 KB) | 6/24/2009 |
| Dave Henderson (PDF 75 KB) | 6/24/2009 |
| Great American Senior Benefits (PDF 24 KB) | 6/24/2009 |
| Lincoln Securities (PDF 23 KB) | 6/24/2009 |
| Western-Southern (PDF 24 KB) | 6/24/2009 |
| Kenneth D. Gardopee (PDF 22 KB) | 6/24/2009 |
| NMFN (PDF 62 KB) | 6/24/2009 |
| One America Securities (PDF 27 KB) | 6/24/2009 |
| David M. Koll (PDF 26 KB) | 6/24/2009 |
| David M. Dinn (PDF 55 KB) | 6/24/2009 |
| Roy L. Dalessandro (PDF 21 KB) | 6/24/2009 |
| Eric Howell (PDF 19 KB) | 6/24/2009 |
| State Farm Insurance (PDF 20 KB) | 6/25/2009 |
| Dennis W. Taylor (PDF 87 KB) | 6/25/2009 |
| Kanter Associates (PDF 48 KB) | 6/25/2009 |
| Chuck Hudspeth (PDF 108 KB) | 6/25/2009 |
| St John's Univ School of Law (PDF 235 KB) | 6/25/2009 |
| Berz White & Cooper (PDF 38 KB) | 6/25/2009 |
| Vistapointe Wealth Solutions, Inc. (PDF 70 KB) | 6/25/2009 |
| Hurley Associates (PDF 92 KB) | 6/25/2009 |
| Denise Gott, MBA, CLTC (PDF 99 KB) | 6/25/2009 |
| Alan J. Cyr, CLU (PDF 45 KB) | 6/25/2009 |
| Sims & Associates (PDF 37 KB) | 6/25/2009 |
| Lederman Financial Strategies (PDF 41 KB) | 6/25/2009 |
| Virginia Farm Bureau Insurance (PDF 68 KB) | 6/25/2009 |
| State Farm Insurance (PDF 86 KB) | 6/25/2009 |
| Pacific West Financial Group (PDF 76 KB) | 6/25/2009 |
| State Farm Insurance (PDF 50 KB) | 6/25/2009 |
| Tom R. Baughman (PDF 46 KB) | 6/25/2009 |
| Skoda Minotti (PDF 65 KB) | 6/25/2009 |
| Michael Bennitti (PDF 61 KB) | 6/25/2009 |
| Brendan Daly (PDF 156 KB) | 6/25/2009 |
| NMFN (PDF 131 KB) | 6/25/2009 |
| Kanter Associates (PDF 50 KB) | 6/25/2009 |
| Capital Planners (PDF 70 KB) | 6/25/2009 |
| Beverly Crangle (PDF 42 KB) | 6/25/2009 |
| Jay Mitchell (PDF 51 KB) | 6/25/2009 |
| State Farm Insurance (PDF 43 KB) | 6/25/2009 |
| AXA Advisors (PDF 41 KB) | 6/25/2009 |
| Insurance and Planning Solutions (PDF 87 KB) | 6/25/2009 |
| Carl Walbert (PDF 24 KB) | 6/25/2009 |
| Ken Gamelin (PDF 24 KB) | 6/25/2009 |
| Kurt Haibach (PDF 27 KB) | 6/25/2009 |
| The Staebler Group (PDF 97 KB) | 6/25/2009 |
| One America Securities (PDF 59 KB) | 6/25/2009 |
| BenFinancial (PDF 26 KB) | 6/25/2009 |
| Eben H Sales (PDF 22 KB) | 6/25/2009 |
| State Farm Insurance (PDF 39 KB) | 6/25/2009 |
| Geoffrey Herring (PDF 29 KB) | 6/25/2009 |
| Sal Ferraro (PDF 57 KB) | 6/25/2009 |
| Taylor Insurance (PDF 59 KB) | 6/25/2009 |
| New England Securities (PDF 22 KB) | 6/25/2009 |
| Ameritas Investment Corp. (PDF 17 KB) | 6/25/2009 |
| State Farm Insurance (PDF 23 KB) | 6/25/2009 |
| Peirce Ward (PDF 26 KB) | 6/25/2009 |
| Howard D.Hines (PDF 28 KB) | 6/25/2009 |
| Luttner Financial Group (PDF 22 KB) | 6/25/2009 |
| Independent Insurance Agent (PDF 26 KB) | 6/25/2009 |
| Ed Martell & Associates (PDF 100 KB) | 6/25/2009 |
| Gerald Foran (PDF 40 KB) | 6/25/2009 |
| Miles Financial Services,Inc. (PDF 65 KB) | 6/25/2009 |
| Robert Newman (PDF 27 KB) | 6/25/2009 |
| Mike Struebing (PDF 19 KB) | 6/25/2009 |
| Pickett, Bradford & Associates (PDF 74 KB) | 6/25/2009 |
| White & Associates (PDF 19 KB) | 6/25/2009 |
| J. David Gibson (PDF 19 KB) | 6/25/2009 |
| Kirk M. Halverson (PDF 24 KB) | 6/25/2009 |
| Paul W. Fitzgerald (PDF 107 KB) | 6/25/2009 |
| New York Life Insurance Company (PDF 19 KB) | 6/25/2009 |
| Financial Decisions Group (PDF 32 KB) | 6/25/2009 |
| Mark George (PDF 35 KB) | 6/25/2009 |
| O.N. Equity Sales Company (PDF 20 KB) | 6/25/2009 |
| Cable Lynx (PDF 21 KB) | 6/25/2009 |
| Northwestern Mutual Financial Network (PDF 71 KB) | 6/25/2009 |
| JHM Financial Services Group, Inc. (PDF 25 KB) | 6/25/2009 |
| Bankers & Investors, Inc. (PDF 26 KB) | 6/25/2009 |
| Steve Van Scoik (PDF 24 KB) | 6/25/2009 |
| George W. Jackson (PDF 58 KB) | 6/25/2009 |
| David M. Dinn (PDF 19 KB) | 6/25/2009 |
| Middaugh & Associates, Inc. (PDF 40 KB) | 6/25/2009 |
| Les Von Losberg (PDF 19 KB) | 6/25/2009 |
| Farmers Agent (PDF 18 KB) | 6/25/2009 |
| Western & Southern Financial Group (PDF 31 KB) | 6/25/2009 |
| S Medler (PDF 24 KB) | 6/25/2009 |
| Karen R. Hammond (PDF 28 KB) | 6/25/2009 |
| Jeffery Heileson (PDF 19 KB) | 6/25/2009 |
| The Leaders Group, Inc./TLG Advisors, Inc. (PDF 55 KB) | 6/25/2009 |
| Pacific Advisors, Inc. (PDF 24 KB) | 6/25/2009 |
| James Landon (PDF 24 KB) | 6/25/2009 |
| Michael J. Youso (PDF 22 KB) | 6/25/2009 |
| Northwestern Mutual Financial Network (PDF 35 KB) | 6/25/2009 |
| Insurance Planning Services, Inc. (PDF 101 KB) | 6/25/2009 |
| ING Financial Partners, Inc. (PDF 30 KB) | 6/25/2009 |
| Roy Mears (PDF 18 KB) | 6/25/2009 |
| Nancy P. Hertwig (PDF 65 KB) | 6/25/2009 |
| Stephen Kagawa (PDF 22 KB) | 6/25/2009 |
| Public Investors Arbitration Bar Association (PDF 381 KB) | 6/26/2009 |
| Bruce C. Hendrickson (PDF 46 KB) | 6/26/2009 |
| Union Central Life (PDF 295 KB) | 6/26/2009 |
| Pinney Insurance Center (PDF 40 KB) | 6/26/2009 |
| Charles E. Day, Jr. (PDF 55 KB) | 6/26/2009 |
| Jack Stanton (PDF 25 KB) | 6/26/2009 |
| USAA (PDF 94 KB) | 6/26/2009 |
| Raymond James Financial Services, Inc. (PDF 192 KB) | 6/26/2009 |
| Christine Denham (PDF 84 KB) | 6/26/2009 |
| New York Life Insurance (PDF 73 KB) | 6/26/2009 |
| Great American Advisors, Inc. (PDF 291 KB) | 6/26/2009 |
| Peckinpaugh & Beasley (PDF 43 KB) | 6/26/2009 |
| Scottrade, Inc. (PDF 301 KB) | 6/26/2009 |
| Farm Bureau Financial Services (PDF 43 KB) | 6/26/2009 |
| LPL Financial Services (PDF 27 KB) | 6/26/2009 |
| ING Financial Planning (PDF 47 KB) | 6/26/2009 |
| J.P. Turner and Company LLC (PDF 100 KB) | 6/26/2009 |
| Lamb Financial Services (PDF 51 KB) | 6/26/2009 |
| Mantsch-Lafaro Insurance Agency (PDF 67 KB) | 6/26/2009 |
| Income Architects (PDF 49 KB) | 6/26/2009 |
| Principal Financial Group (PDF 26 KB) | 6/26/2009 |
| Landon Samuel (PDF 58 KB) | 6/26/2009 |
| E. Lewis Penfield, Jr. (PDF 20 KB) | 6/26/2009 |
| MassMutual Financial Group (PDF 23 KB) | 6/26/2009 |
| CRUMP Insurance Group (PDF 37 KB) | 6/26/2009 |
| Safe Planning, Inc. (PDF 40 KB) | 6/26/2009 |
| Abel/Noser Corp. (PDF 22 KB) | 6/26/2009 |
| Princor (PDF 19 KB) | 6/26/2009 |
| Seymour and Associates (PDF 20 KB) | 6/26/2009 |
| Farm Bureau Financial Services (PDF 20 KB) | 6/26/2009 |
| Born, Pape & Shewan LLP (PDF 22 KB) | 6/26/2009 |
| Rod Jewell (PDF 122 KB) | 6/26/2009 |
| Financial Services (PDF 23 KB) | 6/26/2009 |
| Vicki Hutchens-Bennett (PDF 23 KB) | 6/26/2009 |
| R. Mike Latta (PDF 14 KB) | 6/26/2009 |
| George Coxhead (PDF 23 KB) | 6/26/2009 |
| Beneficial Financial Group (PDF 58 KB) | 6/26/2009 |
| Zicklin School of Business (PDF 27 KB) | 6/26/2009 |
| Ferrell Financial, LLC (PDF 21 KB) | 6/26/2009 |
| The Sunderland Group (PDF 22 KB) | 6/26/2009 |
| Todd Jensen (PDF 20 KB) | 6/26/2009 |
| Thomas H. Herlong (PDF 27 KB) | 6/26/2009 |
| Pasco Financial Group, LLC (PDF 19 KB) | 6/26/2009 |
| Ross Elliott (PDF 14 KB) | 6/26/2009 |
| Mark Gurley (PDF 22 KB) | 6/26/2009 |
| P. Kevin Gilman (PDF 80 KB) | 6/26/2009 |
| AIC Invest (PDF 25 KB) | 6/26/2009 |
| Theodore Scroback (PDF 20 KB) | 6/26/2009 |
| Kris Cloyd (PDF 23 KB) | 6/26/2009 |
| Errold F. Moody Jr. (PDF 373 KB) | 6/27/2009 |
| Cornell Securities Law Clinic (PDF 205 KB) | 6/27/2009 |
| Primoris Financial (PDF 92 KB) | 6/27/2009 |
| SPC Financial, Inc. (PDF 35 KB) | 6/27/2009 |
| Brent Fewox (PDF 43 KB) | 6/28/2009 |
| Integrity Wealth Management (PDF 68 KB) | 6/28/2009 |
| Elaine Fremling (PDF 63 KB) | 6/28/2009 |
| Jeffrey A. Feldman (PDF 62 KB) | 6/28/2009 |
| Barbara Black and Jill I. Gross (PDF 233 KB) | 6/29/2009 |
| First Bankers' Bank Securities, Inc. (PDF 101 KB) | 6/29/2009 |
| National Futures Association (PDF 126 KB) | 6/29/2009 |
| SIFMA (PDF 433 KB) | 6/29/2009 |
| Oxford Financial Group (PDF 81 KB) | 6/29/2009 |
| Douglas Klein (PDF 274 KB) | 6/29/2009 |
| Investment Company Insitute (PDF 157 KB) | 6/29/2009 |
| Stanley F. Goodin, CLU, ChFC, AEP, LUTCF (PDF 47 KB) | 6/29/2009 |
| Chris Tilley (PDF 61 KB) | 6/29/2009 |
| Wells Fargo Advisors (PDF 223 KB) | 6/29/2009 |
| H. Keith de Noble (PDF 55 KB) | 6/29/2009 |
| National Society of Compliance Professionals (PDF 321 KB) | 6/29/2009 |
| Farmers Financial Solutions, LLC (PDF 111 KB) | 6/29/2009 |
| Committee of Annuity Insurers (PDF 432 KB) | 6/29/2009 |
| Integrity (PDF 78 KB) | 6/29/2009 |
| Charles C. Mihalek, P.S.C. (PDF 72 KB) | 6/29/2009 |
| Daniel Flees (PDF 40 KB) | 6/29/2009 |
| LPL Investment Advisor (PDF 80 KB) | 6/29/2009 |
| C.M. Smith Agency, Inc. (PDF 45 KB) | 6/29/2009 |
| NAIFA (PDF 213 KB) | 6/29/2009 |
| Charles Schwab and Co., Inc. (PDF 266 KB) | 6/29/2009 |
| Farm Bureau Insurance (PDF 66 KB) | 6/29/2009 |
| Jeffrey B. Williams (PDF 82 KB) | 6/29/2009 |
| TierOne Financial (PDF 126 KB) | 6/29/2009 |
| 1st Global (PDF 110 KB) | 6/29/2009 |
| Ken Smith (PDF 61 KB) | 6/29/2009 |
| Cohen Goldstein Prot & Gottlieb (PDF 85 KB) | 6/29/2009 |
| NMFN (PDF 105 KB) | 6/29/2009 |
| The Financial Architects (PDF 68 KB) | 6/29/2009 |
| Taurus Compliance Consulting (PDF 123 KB) | 6/29/2009 |
| FOLIOfn Investments, Inc. (PDF 888 KB) | 6/29/2009 |
| Illinois Department of Insurance (PDF 94 KB) | 6/29/2009 |
| Matthew Farley (PDF 80 KB) | 6/29/2009 |
| CM Smith Agency (PDF 69 KB) | 6/29/2009 |
| Howard B. Edelstein, CLU, AEP (PDF 79 KB) | 6/29/2009 |
| National Planning Holdings Inc (PDF 183 KB) | 6/29/2009 |
| Association for Advanced Life Underwriting (PDF 69 KB) | 6/29/2009 |
| T. Rowe Price Investment Services, Inc. (PDF 229 KB) | 6/29/2009 |
| Ana W. Johnson (PDF 75 KB) | 6/29/2009 |
| Raymond D. Kojetin (PDF 57 KB) | 6/29/2009 |
| Renee Dietz (PDF 55 KB) | 6/29/2009 |
| NMFN (PDF 73 KB) | 6/29/2009 |
| Levin Papantonio (PDF 163 KB) | 6/29/2009 |
| Syracuse University (PDF 297 KB) | 6/29/2009 |
| Charles Taylor (PDF 54 KB) | 6/29/2009 |
| Financial Services Institute (PDF 227 KB) | 6/29/2009 |
| John S. Chapman & Associates (PDF 118 KB) | 6/29/2009 |
| LPL Financial (PDF 217 KB) | 6/29/2009 |
| John M. Damgard (PDF 240 KB) | 6/29/2009 |
| Russell Financial Services (PDF 81 KB) | 6/29/2009 |
| Maddox Hargett & Caruso, P.C. (PDF 70 KB) | 6/29/2009 |
| Law Offices of Charles C. Mihalek, P.S.C. (PDF 122 KB) | 6/29/2009 |
| George E. Burnette (PDF 37 KB) | 6/29/2009 |
| Calvin M. Finn, CLU, ChFC, CASL, Financial Advisor (PDF 132 KB) | 6/29/2009 |
| Daniel R. Guerette (PDF 43 KB) | 6/29/2009 |
| Oscar D. Edmiston (PDF 62 KB) | 6/29/2009 |
| John Hancock Life Insurance Company, MetLife, Inc., & Prudential Insurance Company of America (PDF 304 KB) | 6/29/2009 |
| anonymous (PDF 103 KB) | 6/29/2009 |
| Northwestern Mutual (PDF 74 KB) | 6/29/2009 |
| Redbud Financial Group, LLC (PDF 26 KB) | 6/29/2009 |
| anonymous (PDF 47 KB) | 6/29/2009 |
| Fin Svcs (PDF 115 KB) | 6/30/2009 |
| Pamela Yellen (PDF 45 KB) | 6/30/2009 |
| TD Ameritrade Holding Corporation (PDF 186 KB) | 6/30/2009 |
| Independence Planning Group (PDF 66 KB) | 6/30/2009 |
| NAIBD (PDF 81 KB) | 6/30/2009 |
| James L. Harding & Associates, Inc. (PDF 46 KB) | 7/1/2009 |
| AXA Advisors, LLC (PDF 93 KB) | 7/1/2009 |
| The Financial Group (PDF 26 KB) | 7/1/2009 |
| Terri Landry (PDF 23 KB) | 7/2/2009 |
| Rex A. Staples (PDF 48 KB) | 7/13/2009 |
| G Ted Coene (PDF 31 KB) | 7/21/2009 |