Comments on the Law - Part 2

There can be no greater joy for a New York Securities Lawyer than to be relied on by the SEC in its rulemaking, and that’s the case with Malecki Law. Below are a list of matters where 30+ year veteran lawyer Jenice Malecki made public comments that helped advance the law:

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Broaden Arbitrators' Authority to Make Referrals During an Arbitration Proceeding. Ms. Malecki’s comment cited by SEC (October 8, 2014)

Financial Industry Regulatory Authority, Inc. (“FINRA”) filed with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 2267 (Investor Education and Protection) to require that members include a prominent description of and link to FINRA BrokerCheck, as prescribed by FINRA, on their websites, social media pages and any comparable Internet presence and on websites, social media pages and any comparable Internet presence relating to a member’s investment banking or securities business maintained by or on behalf of any person associated with a member. Ms. Malecki’s comment cited by SEC (01/04/2013):

File No. SR-FINRA-2010-053 – Proposed Rule Change to Amend the Panel Composition Rule, and Related Rules, of the Code of Arbitration Procedure for Customer Disputes, to Provide Customers with the Option to Choose an All Public Arbitration Panel in All Cases; Response to Comments and Partial Amendment No. 1. Ms. Malecki’s comment cited by SEC (12/16/2010)

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change as Modified by Amendment No. 1 and Notice of Filing and Order Granting Accelerated Approval to Filing as Amended by Amendment No. 2 Relating to Changes to Forms U4, U5, and FINRA Rule 831. Ms. Malecki’s comments cited numerous times by SEC (May 13, 2009)

SEC [Release No. 34–59189; File No. SR–FINRA– 2007–021]

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Amendments to the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes To Address Motions To Dismiss and To Amend the Eligibility Rule Related to Dismissals. Ms. Malecki’s comment cited by SEC (December 31, 2008).

File No. SR-FINRA-2007-021 – Proposed Rule Change to Amend Rules 12206 and 12504 of the Code of Arbitration Procedure for Customer Disputes and Rules 13206 and 13504 of the Code of Arbitration Procedure for Industry Disputes to Address Motions to Dismiss and to Amend the Provision of the Eligibility Rule Related to Dismissals, Response to Comments. Ms. Malecki’s comment cited by FINRA (09/15/2008)

And on the same subject (March 20, 2008)

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Here are comments that Malecki Law’s New York Securities Lawyers made:

• Malecki Law Comment on new FINRA Rule 3240: Borrowing from and Lending (February 14, 2022)
• Comment on FINRA Regulatory Notice 14-35: Customer Account Statements. (October 30, 2014)
• Comment on SR-FINRA-2014-005 regarding Proposed Amendment to FINRA Rules 12104 and 13104 (May 20, 2014)
• Comment regarding File No. SR-FINRA-2013-003, which proposes to bar persons associated with a mutual fund or a hedge fund from serving as a "public" arbitrator for a period of at least two years (the "cooling period"). (February 7, 2013).
• Comment on SR-FINRA-2013-018 – Proposed Rule Change Relating to FINRA Rule 8313 – Response to Comments. (June 17, 2013)
• Comment made on regarding SR-FINRA-2013-018 regarding the release of disciplinary information to the public. (April 13, 2013)
• Comment regarding File No. SR-FINRA-2013-003, which proposes to bar persons associated with a mutual fund or a hedge fund from serving as a "public" arbitrator for a period of at least two years (the "cooling period"). (February 7, 2013)
• Comment on FINRA Notice 12-10 and Form U-4/U-5 reporting and expungement. (April 17, 2012)
• Comment on SR-FINRA-2010-035, regarding the arbitration discovery guide, opining positive change from NTM 99-90, but more is needed (August 24, 2010)
• Support PIABA’s comment on the proposed revisions to Form U4 and U5 reporting, SR-FINRA­2009-008. (April 17, 2009)
• Comment on SR-NASD-2006-088 regarding Proposed NASD Rule 12504 (2006). Opposition to the Accelerated Approval request of the NASD for the Proposed Rule Change to NASD Arbitration Code, SR-NASD-2003-158 relating to motion practice in arbitration. (2003)
• Comment on SR-NASD-2003-158 regarding Proposed Rule Change to NASD Arbitration Code (2003). Opposition to the Accelerated Approval request of the NASD for the Proposed Rule Change to NASD Arbitration Code, SR-NASD-2003-158 relating to motion practice in arbitration. (2003)

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Ms. Malecki has been a securities lawyer from New York on the Board of Directors, in an executive position, as Secretary of the Public Investors Arbitration Bar Association (“PIABA”) and, with PIABA, has also commented on legislation as part of that group and Board:

Comment re: SR-FINRA-2011-035 - Notice of Filing of Proposed Rule Change to Adopt FINRA Rules 2210 (Communications with the Public), 2212 (Use of investment Companies Rankings in Retail Communications), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), 2214 (Requirements for the Use of Investment Analysis Tools), 2215 (Communications with the Public Regarding Security Futures), and 2216 (Communications with the Public About Collateralized Mortgage Obligations (CMOs)) in the Consolidated FINRA Rulebook (August 23, 2011)

• Comment on Regulatory Notice 11-08 regarding Markups, Commissions and Fees (March 28, 2011)
• Comment on pre-dispute arbitration clauses in furtherance of its review of such clauses pursuant to section 921 of the Dodd- Frank Wall Street Reform and Consumer Protection Act (December 3, 2010)
• Comment on Regulatory Notice 2010-22, Changes to Arbitrator List Selection (June 14, 2010) and see: SR-FINRA-2010-022; Changes to List Selection
• Comment on SR-FINRA-2010-014 Rule Proposal Regarding Inability-to-Pay Defense (May 17, 2010)
• Comment on SR-FINRA-2009-075 relating to fees in arbitration (12/21/09)
• Comment supporting FINRA Rule 9550 Series (Expedited Proceedings for the sick and elderly). (December 15, 2009) and Release No. 34-61026/SR-FINRA-2009-076/Proposed Rule Change to Amend FINRA Rule 9550 Series
• Comment on Proposed Rule Change~ Elimination of FINRA-DR Mandatory Industry Arbitrator Pursuant to Commission Rule of Practice 192(a) (June 11, 2009)
• Comment on FINRA Notice 09-55 regarding Communications with the Public (Nov. 16, 2009)
• Comment on File No. SR-FINRA-2008-047 Proposed FINRA Amendment to Customer Code Rule 12401 Increase in Limits for Single Arbitrator Cases (Oct. 20, 2008)
• File No. SR-FINRA-2008-031 Proposed Rule Change Regarding Uniform Submission Agreements (August 6, 2008)
• Comment on SR-FINRA-2008-009 Proposed FINRA Amendment to Customer Code Rule 12400(c); Chairperson Eligibility Requirements (April 16, 2008)
• Comment on File No. SR-NASD-2007-023 regarding consolidation of NYSE and NASD arbitration and rules. (April 16, 2007)
• Comment on SR-2005-079 regarding subpoenas in arbitration (December 7, 2006).

Securities lawyers in New York, such as Malecki Law, have their pulse on the market, around the corner from the NY Stock Exchange with an ear to the ground.

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