Regulatory Notice 09-25

Proposed Consolidated FINRA Rules Governing Suitability and Know-Your-Customer Obligations

Comment Period Expired: June 29, 2009

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.

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: 
DateCommenterFormat - Size
6/2/2009NPB Financial Group, LLCPDF - 47.82 KB
6/1/2009Bingham & Lea, PCPDF - 15.68 KB
6/3/2009Financial Brokerage, Inc.PDF - 14.47 KB
6/3/2009The IASBDAPDF - 25.17 KB
6/5/2009Antonio L. AmantePDF - 12.54 KB
6/5/2009Summit TheologicalPDF - 13.39 KB
6/6/2009William BakerPDF - 12.73 KB
6/6/2009S. Robert HartmanPDF - 13.28 KB
6/8/2009The Merlin GroupPDF - 33.59 KB
6/8/2009Epstein Insurance ServicesPDF - 20.14 KB
6/8/2009G. T. Kahl Financial Services LLCPDF - 13.45 KB
6/8/2009The Howard Group Financial ServicesPDF - 65.86 KB
6/16/2009Allard Financial Advisors, LLCPDF - 85.6 KB
6/23/2009American Savings Life Insurance CompanyPDF - 60.84 KB
6/17/2009Richarson & Stout Financial Services, Inc.PDF - 157.8 KB
6/17/2009Raymond James Financial ServicesPDF - 76.95 KB
6/16/2009Pennington, Bass & AssociatesPDF - 92.84 KB
6/16/2009FPI AssociatesPDF - 85.29 KB
6/16/2009David BowmanPDF - 75.37 KB
6/18/2009Savage AssociatesPDF - 98.97 KB
6/17/2009Savage AssociatesPDF - 95.82 KB
6/16/2009CG Financial ServicesPDF - 148.87 KB
6/23/2009Cure FinancialPDF - 45.07 KB
6/17/2009Daly Insurance Brokerage Services, LLCPDF - 88.85 KB
6/17/2009Daly Insurance Brokerage Services, LLCPDF - 101.71 KB
6/16/2009Decker Financial GroupPDF - 91.02 KB
6/16/2009Raymond James Financial ServicesPDF - 78.21 KB
6/24/2009State Farm InsurancePDF - 55.27 KB
6/16/2009White and AssociatesPDF - 172.59 KB
6/17/2009M.J. Smith and AssociatesPDF - 85.95 KB
6/16/2009Raymond James Financial Services, Inc.PDF - 91.7 KB
6/16/2009Erwin FinancialPDF - 86.75 KB
6/17/2009Savage AssociatesPDF - 98.76 KB
6/17/2009DeWitt Stern Group Planning ServicesPDF - 94.74 KB
6/16/2009Raymond JamesPDF - 75.8 KB
6/19/2009Flynn AssociatesPDF - 92.68 KB
6/23/2009Farmers Financial Solutions, LLCPDF - 41.18 KB
6/22/2009Max Greene Financial Services Group, LLCPDF - 60.53 KB
6/19/2009Financial Network Investment CorporationPDF - 86.43 KB
6/22/2009WFG Associates, Inc.PDF - 83.94 KB
6/17/2009Savage AssociatesPDF - 86.55 KB
6/17/2009Savage AssociatesPDF - 83.86 KB
6/17/2009Savage AssociatesPDF - 98.94 KB
6/17/2009M.J. Smith and AssociatesPDF - 85.42 KB
6/25/2009Kanter AssociatesPDF - 47.67 KB
6/17/2009Antone KellerPDF - 82.18 KB
6/23/2009Profinium Insurance AgencyPDF - 53.84 KB
6/24/2009Executive Brokerage Services, Inc.PDF - 59.25 KB
6/17/2009C&M Capital Resources, Inc.PDF - 85.94 KB
6/22/2009Raymond James Financial SerivesPDF - 94.73 KB
6/23/2009McGreevy AssociatesPDF - 89.2 KB
6/17/2009Savage AssociatesPDF - 95.84 KB
6/18/2009Plan Member Securities CorporationPDF - 119.95 KB
6/17/2009Lincoln Financial SecuritiesPDF - 75.75 KB
6/17/2009Savage AssociatesPDF - 72.95 KB
6/17/2009Savage AssociatesPDF - 102.25 KB
6/17/2009Raymond JamesPDF - 75.37 KB
6/17/2009Richardson & Stout Financial Services, Inc.PDF - 158.3 KB
6/16/2009Compensation Designs, LLCPDF - 79.04 KB
6/17/2009Richardson & Stout Financial Services, Inc.PDF - 147.57 KB
6/17/2009Financial Network Investment CorporationPDF - 87.23 KB
6/17/2009Savage AssociatesPDF - 91.01 KB
6/17/2009Raymond James Financial ServicesPDF - 78.6 KB
6/23/2009H.E. Sechman Retirement PlanningPDF - 71.9 KB
6/19/2009Great American Advisors, Inc.PDF - 44.48 KB
6/26/2009Public Investors Arbitration Bar AssociationPDF - 380.02 KB
6/17/2009M.J. Smith and AssociatesPDF - 88.13 KB
6/18/2009Savage AssociatesPDF - 93.98 KB
6/16/2009HD Vest InvestmentsPDF - 81.53 KB
6/17/2009Mark StevensPDF - 77.73 KB
6/25/2009Dennis W. TaylorPDF - 86.94 KB
6/17/2009M.J. Smith and AssociatesPDF - 83.61 KB
6/17/2009Financial Principles, LLCPDF - 97.27 KB
6/17/2009Savage AssociatesPDF - 106.49 KB
6/23/2009Tower Square Securities, Inc.PDF - 84.17 KB
6/16/2009Compensation Designs LLCPDF - 77.65 KB
6/23/2009Buckeye Planning Concepts, Inc.PDF - 323.8 KB
6/16/2009White & AssociatesPDF - 172.04 KB
6/16/2009A. Rhodes Wilson & Associates, Inc.PDF - 101.73 KB
6/23/2009Wishard InsurancePDF - 43.07 KB
6/29/2009National Planning Holdings IncPDF - 182.17 KB
6/23/2009Park Avenue InvestmentsPDF - 105.11 KB
6/25/2009St John's Univ School of LawPDF - 234.34 KB
6/25/2009Insurance and Planning SolutionsPDF - 86.71 KB
6/29/2009Charles Schwab and Co., Inc.PDF - 265.09 KB
6/29/2009National Society of Compliance ProfessionalsPDF - 320.66 KB
6/23/2009Thrivent Financial for LutheransPDF - 100.66 KB
6/29/2009FOLIOfn Investments, Inc.PDF - 887.38 KB
6/23/2009Bruce HubbardPDF - 63.51 KB
6/25/2009Chuck HudspethPDF - 107.09 KB
6/29/2009TierOne FinancialPDF - 125.78 KB
6/25/2009Hurley AssociatesPDF - 91.4 KB
6/26/2009J.P. Turner and Company LLCPDF - 99.06 KB
6/29/2009Wells Fargo AdvisorsPDF - 222.15 KB
6/29/2009C.M. Smith Agency, Inc.PDF - 44.58 KB
6/25/2009Capital PlannersPDF - 69.39 KB
6/23/2009Marcum BenefitPDF - 95.33 KB
6/30/2009TD Ameritrade Holding CorporationPDF - 185.13 KB
6/29/2009T. Rowe Price Investment Services, Inc.PDF - 228.63 KB
6/29/2009Charles C. Mihalek, P.S.C.PDF - 71.8 KB
6/29/2009First Bankers' Bank Securities, Inc.PDF - 100.02 KB
6/26/2009Great American Advisors, Inc.PDF - 290.49 KB
6/29/2009Law Offices of Charles C. Mihalek, P.S.C.PDF - 121.59 KB
6/29/2009NMFNPDF - 104.87 KB
6/25/2009State Farm InsurancePDF - 85.93 KB
6/25/2009Jay MitchellPDF - 50.85 KB
6/27/2009Errold F. Moody Jr.PDF - 372.25 KB
6/29/2009The Financial ArchitectsPDF - 67.28 KB
6/30/2009Fin SvcsPDF - 114.03 KB
6/29/20091st GlobalPDF - 109.29 KB
6/23/2009Peckinpaugh Financial GroupPDF - 35.84 KB
6/23/2009Brian R. PharesPDF - 66.89 KB
6/30/2009Independence Planning GroupPDF - 65.5 KB
6/29/2009Cohen Goldstein Prot & GottliebPDF - 84.96 KB
6/27/2009Primoris FinancialPDF - 91.81 KB
6/29/2009LPL Investment AdvisorPDF - 79.03 KB
6/23/2009American Family InsurancePDF - 38.13 KB
6/23/2009NAIFA-WVPDF - 26.91 KB
6/29/2009Oxford Financial GroupPDF - 80.49 KB
6/29/2009Taurus Compliance ConsultingPDF - 122.45 KB
6/29/2009John S. Chapman & AssociatesPDF - 117.84 KB
6/30/2009NAIBDPDF - 80.65 KB
6/29/2009Russell Financial ServicesPDF - 48.16 KB
6/29/2009Investment Company InsitutePDF - 156.7 KB
6/29/2009NAIFAPDF - 212.18 KB
6/23/2009Thrivent FinancialPDF - 112.89 KB
6/23/2009Ameritas Investment Corp.PDF - 100.93 KB
6/29/2009National Futures AssociationPDF - 125.5 KB
6/24/2009Barbara SilveyPDF - 28.27 KB
6/25/2009Sims & AssociatesPDF - 36.34 KB
6/26/2009Scottrade, Inc.PDF - 300.36 KB
6/25/2009Vistapointe Wealth Solutions, Inc.PDF - 69.29 KB
6/29/2009Ken SmithPDF - 60.04 KB
6/29/2009NMFNPDF - 72.11 KB
6/26/2009Jack StantonPDF - 24.48 KB
6/24/2009Florida International UniverisyPDF - 463.4 KB
6/29/2009Illinois Department of InsurancePDF - 93.33 KB
6/29/2009IntegrityPDF - 77.75 KB
6/23/2009The Syverson AgencyPDF - 81.15 KB
6/23/2009Ameriprise Financial ServicesPDF - 104.27 KB
6/23/2009Taggart CompanyPDF - 62.73 KB
6/29/2009Charles TaylorPDF - 53.12 KB
6/23/2009New York Life Insurance Co.PDF - 63.52 KB
6/25/2009NMFNPDF - 131 KB
6/29/2009Chris TilleyPDF - 60.3 KB
6/23/2009Udell AssociatesPDF - 105.94 KB
6/23/2009Pacific Guardian LifePDF - 52.16 KB
6/25/2009Carl WalbertPDF - 23.88 KB
6/23/2009Buster WestPDF - 44.59 KB
6/29/2009Jeffrey B. WilliamsPDF - 81.92 KB
6/30/2009Pamela YellenPDF - 44.39 KB
6/23/2009Gerald W. CraftPDF - 293.19 KB
6/25/2009Beverly CranglePDF - 41.75 KB
6/25/2009Alan J. Cyr, CLUPDF - 44.37 KB
6/25/2009Brendan DalyPDF - 155.28 KB
6/29/2009John M. DamgardPDF - 239.5 KB
6/26/2009Charles E. Day, Jr.PDF - 54.85 KB
6/26/2009Christine DenhamPDF - 83.15 KB
6/27/2009Cornell Securities Law ClinicPDF - 204.73 KB
6/23/2009Modern Woodmen of AmericaPDF - 55.98 KB
6/29/2009Ana W. JohnsonPDF - 74.8 KB
6/23/2009J.A. Counter & Associates, Inc.PDF - 119.41 KB
6/26/2009ING Financial PlanningPDF - 46.88 KB
6/29/2009Committee of Annuity InsurersPDF - 435.28 KB
6/29/2009John Hancock Life Insurance Company, MetLife, Inc., & Prudential Insurance Company of AmericaPDF - 307.11 KB
6/29/2009Douglas KleinPDF - 273.77 KB
6/29/2009Farmers Financial Solutions, LLCPDF - 110.35 KB
6/29/2009Raymond D. KojetinPDF - 56.43 KB
6/29/2009Levin PapantonioPDF - 162.11 KB
6/26/2009New York Life InsurancePDF - 72.7 KB
6/26/2009Raymond James Financial Services, Inc.PDF - 191.84 KB
6/26/2009Mantsch-Lafaro Insurance AgencyPDF - 66.54 KB
6/26/2009USAAPDF - 93.89 KB
6/26/2009Lamb Financial ServicesPDF - 50.38 KB
6/26/2009Pinney Insurance CenterPDF - 39.18 KB
6/23/2009AXA Advisors LLCPDF - 86.96 KB
6/29/2009H. Keith de NoblePDF - 54.58 KB
6/29/2009Renee DietzPDF - 54.88 KB
6/29/2009Howard B. Edelstein, CLU, AEPPDF - 78.98 KB
6/29/2009Oscar D. EdmistonPDF - 61.12 KB
6/23/2009Adam J. Edwards, CLU, ChFCPDF - 112.48 KB
6/24/2009Barry D. EstellPDF - 276.74 KB
6/23/2009Chris EverettPDF - 30.52 KB
6/29/2009Matthew FarleyPDF - 79.89 KB
6/28/2009Jeffrey A. FeldmanPDF - 61.23 KB
6/28/2009Brent FewoxPDF - 42.46 KB
6/29/2009Calvin M. Finn, CLU, ChFC, CASL, Financial AdvisorPDF - 131.33 KB
6/25/2009Virginia Farm Bureau InsurancePDF - 72.79 KB
6/25/2009Skoda MinottiPDF - 70.5 KB
6/29/2009Daniel FleesPDF - 39.91 KB
6/18/2009Woodbury Financial Services, Inc.PDF - 116.56 KB
6/25/2009State Farm InsurancePDF - 54.65 KB
6/24/2009Marlene CiapettiPDF - 108.21 KB
6/24/2009Glen T. CastlePDF - 38.56 KB
6/29/2009Maddox Hargett & Caruso, P.C.PDF - 73.22 KB
6/24/2009Charles FradkinPDF - 24.23 KB
6/29/2009Association for Advanced Life UnderwritingPDF - 72.45 KB
6/17/2009William FrankePDF - 78.92 KB
6/29/2009George E. BurnettePDF - 41.74 KB
6/28/2009Elaine FremlingPDF - 62.82 KB
6/29/2009Farm Bureau InsurancePDF - 70.44 KB
6/17/2009Pamela FritzPDF - 198.07 KB
6/29/2009LPL FinancialPDF - 220.42 KB
6/23/2009Bret GardnerPDF - 125.35 KB
6/29/2009Financial Services InstitutePDF - 231.91 KB
6/23/2009Glenwood Insurance AgencyPDF - 79.08 KB
6/24/2009Julie J. GebertPDF - 96.73 KB
6/26/2009Farm Bureau Financial ServicesPDF - 47.18 KB
6/29/2009Stanley F. Goodin, CLU, ChFC, AEP, LUTCFPDF - 46.49 KB
6/23/2009MetlifePDF - 128.57 KB
6/25/2009Denise Gott, MBA, CLTCPDF - 98.83 KB
6/24/2009Debra J. BlairPDF - 52.5 KB
6/25/2009Berz White & CooperPDF - 43.07 KB
6/18/2009Frederick T. Greene, CIMAPDF - 39.24 KB
6/23/2009Morgan, Lewis & BrockiusPDF - 151 KB
6/25/2009Michael BennittiPDF - 65.81 KB
6/26/2009Union Central LifePDF - 299.6 KB
6/25/2009Tom R. BaughmanPDF - 50.32 KB
6/29/2009Barbara Black and Jill I. GrossPDF - 232.61 KB
6/23/2009David P. BartnettPDF - 39.78 KB
6/29/2009Daniel R. GuerettePDF - 42.57 KB
6/23/2009Barr Associates, Inc.PDF - 47.71 KB
6/23/2009Northwestern Mutual Financial NetworkPDF - 84.68 KB
6/26/2009Income ArchitectsPDF - 53.67 KB
6/23/2009American Savings Life Insurance CompanyPDF - 116.21 KB
6/26/2009LPL Financial ServicesPDF - 31.58 KB
6/23/2009Vantage Wealth Management, LLCPDF - 55.14 KB
6/29/2009CM Smith AgencyPDF - 73.64 KB
6/28/2009Integrity Wealth ManagementPDF - 72.28 KB
6/29/2009SIFMAPDF - 432.88 KB
6/26/2009Bruce C. HendricksonPDF - 45.84 KB
6/25/2009Kanter AssociatesPDF - 49.86 KB
6/26/2009Peckinpaugh & BeasleyPDF - 42.21 KB
6/16/2009ViewPoint Investment GroupPDF - 86.13 KB
6/29/2009Syracuse UniversityPDF - 296.29 KB
6/25/2009State Farm InsurancePDF - 42.46 KB
6/25/2009AXA AdvisorsPDF - 40.11 KB
6/25/2009Lederman Financial StrategiesPDF - 47.88 KB
6/25/2009Pacific West Financial GroupPDF - 76.46 KB
7/1/2009James L. Harding & Associates, Inc.PDF - 45.22 KB
6/29/2009Sampe Form A - Comments on Regulatory Notice 09-25PDF - 102.73 KB
7/21/2009G Ted CoenePDF - 30.54 KB
6/23/2009New York Life Insurance CompanyPDF - 47.7 KB
7/13/2009Rex A. StaplesPDF - 47.53 KB
6/23/2009Edwin McKnightPDF - 88.91 KB
6/23/2009David J. FisherPDF - 18.21 KB
6/25/2009Paul W. FitzgeraldPDF - 106.45 KB
6/24/2009John FloydPDF - 20.27 KB
6/25/2009Gerald ForanPDF - 39.93 KB
6/23/2009Ralph FordPDF - 46.77 KB
6/23/2009Douglas R. FranklinPDF - 38.17 KB
6/23/2009Jim FreudenbergerPDF - 18.85 KB
6/25/2009Ken GamelinPDF - 23.61 KB
6/24/2009Kenneth D. GardopeePDF - 21.94 KB
6/24/2009James W. Gates, Jr.PDF - 26.52 KB
6/25/2009Mark GeorgePDF - 34.42 KB
6/25/2009J. David GibsonPDF - 18.99 KB
6/26/2009P. Kevin GilmanPDF - 79.24 KB
6/24/2009Wayne F. GledhillPDF - 36.19 KB
6/23/2009Rod L. GoemanPDF - 23.24 KB
6/23/2009James R. GrayPDF - 23.41 KB
6/23/2009Jerry N. GrovePDF - 27.41 KB
6/24/2009Carol GuerieriPDF - 24.21 KB
6/26/2009Mark GurleyPDF - 21.92 KB
6/25/2009Kurt HaibachPDF - 26.51 KB
6/25/2009Kirk M. HalversonPDF - 23.1 KB
6/25/2009Karen R. HammondPDF - 27.15 KB
6/23/2009Lorne HargisPDF - 25.98 KB
6/23/2009Stephen E. HarrisPDF - 228.3 KB
6/23/2009Donald E. HedrickPDF - 23.7 KB
6/25/2009Jeffery HeilesonPDF - 18.37 KB
6/24/2009Dave HendersonPDF - 74.95 KB
6/23/2009Rick HenksPDF - 23.98 KB
6/26/2009Thomas H. HerlongPDF - 26.65 KB
6/25/2009Geoffrey HerringPDF - 28.91 KB
6/25/2009Nancy P. HertwigPDF - 64.95 KB
6/23/2009David HillPDF - 18.72 KB
6/23/2009Wayne HillmanPDF - 18.49 KB
6/25/2009Howard D.HinesPDF - 27.03 KB
6/23/2009Scott M. HinmanPDF - 25.9 KB
6/24/2009Eric HowellPDF - 18.01 KB
6/24/2009Dennis HrubyPDF - 21.46 KB
6/26/2009Vicki Hutchens-BennettPDF - 22.46 KB
6/25/2009George W. JacksonPDF - 57.77 KB
6/23/2009Steven D. JedlundPDF - 55.29 KB
6/26/2009Todd JensenPDF - 19.34 KB
6/26/2009Rod JewellPDF - 121.35 KB
6/25/2009Stephen KagawaPDF - 21.73 KB
6/23/2009Derenda KeatingPDF - 17.43 KB
6/23/2009Victor W. KirschPDF - 17.76 KB
6/23/2009Harry P. Knickerbocker, IIIPDF - 16.62 KB
6/24/2009David M. KollPDF - 25.31 KB
6/23/2009John KorzecPDF - 22.68 KB
6/23/2009Jerry KuhlmannPDF - 15.79 KB
6/25/2009James LandonPDF - 23.43 KB
7/2/2009Terri LandryPDF - 22.39 KB
6/26/2009R. Mike LattaPDF - 18.46 KB
6/26/2009Ferrell Financial, LLCPDF - 20.8 KB
6/23/2009McGreevy & AssociatesPDF - 19.99 KB
6/23/2009NMFNPDF - 26.62 KB
6/23/2009Capital Financial SolutionsPDF - 31.95 KB
6/23/2009JC Leap Insurance ServicesPDF - 90.93 KB
6/26/2009AIC InvestPDF - 25.44 KB
6/26/2009Zicklin School of BusinessPDF - 27.26 KB
6/25/2009New England SecuritiesPDF - 22.37 KB
6/25/2009Les Von LosbergPDF - 19.07 KB
6/23/2009Highland Capital Brokerage NorthwestPDF - 50.02 KB
6/23/2009Lone Star Advisory GroupPDF - 22.2 KB
6/25/2009JHM Financial Services Group, Inc.PDF - 24.65 KB
6/25/2009Ed Martell & AssociatesPDF - 100.6 KB
6/25/2009Insurance Planning Services, Inc.PDF - 101.28 KB
6/25/2009BenFinancialPDF - 26.44 KB
6/25/2009Northwestern Mutual Financial NetworkPDF - 34.72 KB
6/23/2009McKnight FinancialPDF - 88.91 KB
6/23/2009PrincipalPDF - 20.42 KB
6/23/2009True Noth CompaniesPDF - 18.2 KB
6/25/2009Roy MearsPDF - 18.05 KB
6/25/2009S MedlerPDF - 24.41 KB
6/23/2009PrincipalPDF - 40.55 KB
6/23/2009Indiana Farm Bureau InsurancePDF - 20.01 KB
6/26/2009CRUMP Insurance GroupPDF - 36.68 KB
6/23/2009Mgump6PDF - 22.49 KB
6/25/2009Middaugh & Associates, Inc.PDF - 39.71 KB
6/23/2009Andraos Capital ManagementPDF - 22.2 KB
6/25/2009Miles Financial Services,Inc.PDF - 65.25 KB
6/23/2009AIC InvestPDF - 24.93 KB
6/23/2009Owen MillerPDF - 17.41 KB
6/23/2009IMG Financial GroupPDF - 20.43 KB
6/23/2009David MontemurroPDF - 15.19 KB
6/23/2009Tom MoorePDF - 19.14 KB
6/23/2009Country FinancialPDF - 16.48 KB
6/29/2009Redbud Financial Group, LLCPDF - 26.46 KB
6/23/2009Innovate Financial, Inc.PDF - 21.67 KB
6/24/2009Stoltmann Law Offices, P.C.PDF - 26.88 KB
6/25/2009Robert NewmanPDF - 20.84 KB
6/23/2009Wisconsin College Planning, LLCPDF - 115.66 KB
6/23/2009Mike NitchenPDF - 18.47 KB
6/26/2009Principal Financial GroupPDF - 26.33 KB
6/24/2009NMFNPDF - 62.3 KB
6/23/2009Richard C. OrvisPDF - 67.97 KB
6/23/2009Douglas OsbornePDF - 20.9 KB
6/23/2009State Farm InsurancePDF - 19.62 KB
6/23/2009Denwood ParrishPDF - 18.04 KB
6/26/2009Pasco Financial Group, LLCPDF - 17.91 KB
6/26/2009E. Lewis Penfield, Jr.PDF - 20.82 KB
6/23/2009Cullum & Burks Securities, Inc.PDF - 23.95 KB
6/23/2009F. Joseph PickettPDF - 23.66 KB
6/25/2009Pickett, Bradford & AssociatesPDF - 74.17 KB
6/24/2009G. T. Powers, Jr. & AssociatesPDF - 22.63 KB
6/29/2009Northwestern MutualPDF - 57.88 KB
6/25/2009Financial Decisions GroupPDF - 31.95 KB
6/26/2009Safe Planning, Inc.PDF - 40.16 KB
6/25/2009Northwestern Mutual Financial NetworkPDF - 70.3 KB
6/25/2009State Farm InsurancePDF - 19.28 KB
6/24/2009One America SecuritiesPDF - 26.98 KB
6/24/2009Great American Senior BenefitsPDF - 23.83 KB
6/23/2009BenfinancialPDF - 75.21 KB
6/25/2009Independent Insurance AgentPDF - 25.84 KB
6/25/2009One America SecuritiesPDF - 58.11 KB
6/25/2009Bankers & Investors, Inc.PDF - 25.35 KB
6/23/2009Profit Plans LLCPDF - 26.9 KB
6/25/2009State Farm InsurancePDF - 22.39 KB
6/23/2009Peter L. BorowskiPDF - 15.59 KB
6/23/2009Mehringer AssociatesPDF - 20.82 KB
6/23/2009Richard N. BowesPDF - 15.92 KB
6/21/2009Stuart D. BoxenbaumPDF - 22.49 KB
6/25/2009Pacific Advisors, Inc.PDF - 33.83 KB
6/25/2009State Farm InsurancePDF - 38.17 KB
6/23/2009Phares Financial Services, Inc.PDF - 55.73 KB
6/24/2009Liberty AgencyPDF - 22.18 KB
6/23/2009IPASSPDF - 16.64 KB
6/25/2009Farmers AgentPDF - 17.76 KB
6/25/2009Ameritas Investment Corp.PDF - 16.91 KB
6/25/2009Cable LynxPDF - 20.43 KB
6/23/2009Mark Cannon InsurancePDF - 28.35 KB
6/25/2009Luttner Financial GroupPDF - 21.3 KB
6/24/2009New York Life Insurance CoPDF - 26.54 KB
6/25/2009O.N. Equity Sales CompanyPDF - 19.81 KB
6/23/2009Ciporkin CarePDF - 65.87 KB
6/24/2009CFH Financial Services, Inc.PDF - 22.32 KB
6/26/2009Kris CloydPDF - 22.43 KB
6/24/2009OFG FinancialPDF - 24.8 KB
6/22/2009Intermountain Financial Advisors, Inc.PDF - 136.58 KB
6/26/2009Financial ServicesPDF - 22.16 KB
6/23/2009Axcess Financial GroupPDF - 31.29 KB
6/26/2009George CoxheadPDF - 22.44 KB
6/24/2009Lincoln SecuritiesPDF - 22.24 KB
6/24/2009PSFINPDF - 124.41 KB
6/24/2009Roy L. DalessandroPDF - 20.79 KB
6/24/2009Western-SouthernPDF - 23.67 KB
6/24/2009Merrell E. DeanPDF - 20.75 KB
6/23/2009Anrest Bank GroupPDF - 25.05 KB
6/25/2009David M. DinnPDF - 18.31 KB
6/24/2009David M. DinnPDF - 54.25 KB
6/23/2009Highland Capital BrokeragePDF - 17.6 KB
6/23/2009First Western Agency, LLCPDF - 20 KB
6/23/2009Wollman InsurancePDF - 15.52 KB
6/23/2009Echelmeier Insurance AgencyPDF - 21.12 KB
6/26/2009PrincorPDF - 18.97 KB
6/26/2009Ross ElliottPDF - 13.06 KB
6/26/2009Beneficial Financial GroupPDF - 57.16 KB
6/23/2009Jay EslickPDF - 17.4 KB
6/26/2009Seymour and AssociatesPDF - 19.47 KB
6/23/2009Fifth Avenue AgencyPDF - 16.51 KB
6/25/2009Sal FerraroPDF - 56.29 KB
6/25/2009New York Life Insurance CompanyPDF - 18.55 KB
6/24/2009LTCI Partners, LLCPDF - 65.94 KB
6/25/2009The Leaders Group, Inc./TLG Advisors, Inc.PDF - 54.53 KB
6/26/2009Farm Bureau Financial ServicesPDF - 19.57 KB
6/25/2009Eben H SalesPDF - 21.16 KB
6/25/2009ING Financial Partners, Inc.PDF - 29.41 KB
6/26/2009Landon SamuelPDF - 57.6 KB
6/23/2009Farm Bureau Financial ServicesPDF - 17.42 KB
6/23/2009Michael SchmitzPDF - 18.58 KB
6/23/2009David M Schuman, CLUPDF - 18.38 KB
6/23/2009Northwestern MutualPDF - 58.24 KB
6/25/2009Steve Van ScoikPDF - 23.3 KB
6/23/2009Headley ScottPDF - 23.52 KB
6/26/2009Theodore ScrobackPDF - 19.01 KB
6/27/2009SPC Financial, Inc.PDF - 34.69 KB
7/1/2009AXA Advisors, LLCPDF - 92.81 KB
6/26/2009Born, Pape & Shewan LLPPDF - 21.93 KB
6/23/2009Thomas & Wendy SchreinerPDF - 25.21 KB
6/23/2009Eagle Strategies LLCPDF - 20.05 KB
6/25/2009Western & Southern Financial GroupPDF - 30.07 KB
6/22/2009Abel/Noser Corp.PDF - 15.74 KB
6/26/2009Abel/Noser Corp.PDF - 21.7 KB
6/23/2009John Hancock Financial NetworkPDF - 24.48 KB
6/25/2009The Staebler GroupPDF - 96.87 KB
6/23/2009Lee C Staniar CLU, ChFCPDF - 17.81 KB
6/23/2009SternmanPDF - 20.93 KB
6/25/2009Mike StruebingPDF - 18.67 KB
6/26/2009The Sunderland GroupPDF - 21.07 KB
6/23/2009First Capital Benefits GroupPDF - 20.68 KB
6/23/2009American National InsurancePDF - 17.92 KB
6/25/2009Taylor InsurancePDF - 58.7 KB
6/24/2009Heath Threadgill, LUTCFPDF - 19.86 KB
6/23/2009MWA Financial Services Inc.PDF - 28.97 KB
6/23/2009John S. Tuttle, CLU, ChFCPDF - 62.08 KB
6/23/2009Ken Tynes, LUTCFPDF - 48.33 KB
6/23/2009Susan M. UngerPDF - 21.71 KB
6/23/2009Mary Ann Wagner LUTCF, CSA, FICFPDF - 18.02 KB
6/25/2009Peirce WardPDF - 25.08 KB
6/23/2009New York Life Insurance CompanyPDF - 17.08 KB
6/23/2009Ackley Financial GroupPDF - 25.79 KB
6/24/2009Ted WeaverPDF - 25.49 KB
6/26/2009MassMutual Financial GroupPDF - 22.04 KB
6/23/2009Tax Favored Benefits, Inc.PDF - 27.67 KB
6/23/2009The Forker CompanyPDF - 42.16 KB
6/25/2009White & AssociatesPDF - 18.59 KB
6/23/2009Rory C WoldPDF - 18.13 KB
6/23/2009Dennis C. Wong, CLU, ChFC, RHUPDF - 15.99 KB
7/1/2009The Financial GroupPDF - 25.99 KB
6/25/2009Michael J. YousoPDF - 21.36 KB
6/23/2009Paul ZietlowPDF - 19.42 KB
6/29/2009Sample Form B - Comments on Regulatory Notice 09-25PDF - 46.22 KB