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
ViewPoint Investment Group (PDF 87 KB) 6/16/2009
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
William Franke (PDF 79 KB) 6/17/2009
Pamela Fritz (PDF 119 KB) 6/17/2009
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
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
Savage Associates (PDF 94 KB) 6/18/2009
Plan Member Securities Corporation (PDF 120 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
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
State Farm Insurance (PDF 20 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