Document ID: SEC-2013-0811-0001
Agency: sec
Document Type: Notice
Title: Self-Regulatory Organizations; Proposed Rule Changes: Financial Industry Regulatory Authority, Inc.
Posted Date: 2013-04-30T04:00Z

[Federal Register Volume 78, Number 83 (Tuesday, April 30, 2013)]
[Notices]
[Pages 25331-25332]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-10079]

-----------------------------------------------------------------------

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-69440; File No. SR-FINRA-2013-002]

Self-Regulatory Organizations; Financial Industry Regulatory 
Authority, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend 
FINRA Rule 2267 (Investor Education and Protection)

April 24, 2013.
    On January 7, 2013, Financial Industry Regulatory Authority, Inc. 
(``FINRA'') filed with the Securities and Exchange Commission 
(``Commission''), pursuant to Section 19(b)(1) of the Securities 
Exchange Act of 1934 (``Act'') \1\ and Rule 19b-4 thereunder,\2\ 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 Web 
sites, social media pages, and any comparable Internet presence, and on 
Web sites, 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. The 
proposed rule change was published for comment in the Federal Register 
on January 25, 2013.\3\ The Commission received 24 comment letters on 
the proposal.\4\ On March 7,

[[Page 25332]]

2013, the Commission extended the time period in which to either 
approve the proposed rule change, disapprove the proposed rule change, 
or institute proceedings to determine whether to disapprove the 
proposed rule change, to April 25, 2013.\5\ On April 18, 2013, FINRA 
withdrew the proposed rule change (SR-FINRA-2013-002).
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ See Securities Exchange Act Release No. 68700 (Jan. 18, 
2013), 78 FR 5542.
    \4\ See Letter from Charles Barker, dated Jan. 29, 2013; Letter 
from David M. Sobel, Esq., Abel/Noser Corp., dated Jan. 30, 2013; 
Letter from Pamela Albanese, Legal Intern, and Christine Lazaro, 
Esq., Acting Director, St. John's University School of Law, 
Securities Arbitration Clinic, dated Feb. 4, 2013; Letter from Peter 
J. Chepucavage, General Counsel, Plexus Consulting Group, LLC, dated 
Feb. 6, 2013; Letter from Jonathan W. Evans and Michael S. Edmiston, 
Jonathan W. Evans Associates, dated Feb. 10, 2013; Letter from Scott 
R. Shewan, Pape Shewan, LLP, dated Feb. 11, 2013; Letter from David 
Neuman, Stoltmann Law Offices, dated Feb. 12, 2013; Letter from 
Barry D. Estell, dated Feb. 12, 2013; Letter from Scott C. 
Ilgenfritz, President, Public Investors Arbitration Bar Association, 
dated Feb. 13, 2013; Letter from Bert Savage, dated Feb. 13, 2013; 
Letter from William A. Jacobson, Esq., Associate Clinical Professor, 
Cornell Law School, Director, Securities Law Clinic, and Alexander 
Wingate, Cornell Law School, dated Feb. 14, 2013; Letter from A. 
Heath Abshure, President, North American Securities Administrators 
Association, Inc., dated Feb. 15, 2013; Letter from Robert J. 
McCarthy, Director of Regulatory Policy, Wells Fargo Advisors, LLC, 
dated Feb. 15, 2013; Letter from Tamara K. Salmon, Senior Associate 
Counsel, Investment Company Institute, dated Feb. 15, 2013; Letter 
from David T. Bellaire, Esq., Executive Vice President & General 
Counsel, Financial Services Institute, dated Feb. 15, 2013; Letter 
from Scott A. Eichhorn, Supervising Attorney, and Julianne S. 
Bisceglia, Legal Intern, University of Miami School of Law, Investor 
Rights Clinic, dated Feb. 15, 2013; Letter from Melissa MacGregor, 
Managing Director and Associate General Counsel, Securities Industry 
and Financial Markets Association, dated Feb. 15, 2013; Letter from 
Brendan Daly, Legal and Compliance Counsel, Commonwealth Financial 
Network, dated Feb. 15, 2013; Letter from James Cooper, Chief 
Operating Officer, Zions Direct, dated Feb. 15, 2013; Letter from 
Melissa Callison, Vice President, Compliance, Charles Schwab & Co., 
Inc, dated Feb. 15, 2013; Letter from James Smith, Chief Compliance 
Officer, BlackRock Investments, LLC, Ned Montenecourt, Chief 
Compliance Officer, BlackRock Capital Markets, LLC, BlackRock 
Execution Services, and Joanne Medero, Managing Director, BlackRock, 
Inc., dated Feb. 15, 2013; Letter from Clifford E. Kirsch and Eric 
A. Arnold, Sutherland Asbill & Brennan LLP, for the Committee of 
Annuity Insurers, dated Feb. 15, 2013; Letter from Steven B. Caruso, 
Maddox Hargett Caruso, P.C., dated Feb. 16, 2013; and Letter from 
Lisa Catalano, Esq., dated Feb. 18, 2013.
    \5\ See Securities Exchange Act Release No. 69063, 78 FR 15994 
(Mar. 13, 2013).

    For the Commission, by the Division of Trading and Markets, 
pursuant to delegated authority.\6\
---------------------------------------------------------------------------

    \6\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2013-10079 Filed 4-29-13; 8:45 am]
BILLING CODE P