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December 20, 2013 VIA EMAIL Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, NE
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City

Washington / DC / /

Company

Financial Industry Regulatory Authority / FINRA Robert L. D. Colby / /

Continent

Asia / Europe / Americas / /

Country

Australia / /

IndustryTerm

communications organization / /

Organization

Funds Association / Managed Funds Association / Securities and Exchange Commission / /

Person

Marc Menchel / Stuart J. Kaswell / Elizabeth Murphy / Racquel Russell / Robert L. D. Colby / Stuart J. Kaswell Stuart / Richard G. Ketchum / /

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Position

General Counsel for Regulation / Executive Vice President & Managing Director / Executive Vice President and General Counsel / Chairman & Chief Executive Officer / investment adviser / Managing Director / General Counsel / General Counsel / Secretary / Chief Legal Officer / /

Technology

http / /

URL

www.managedfunds.org/wpcontent/uploads/2011/10/Comments_on_FINRA_Rule5131_10-4-11.pdf / www.managedfunds.org/wp-content/uploads/2013/10/MFA-Comments-on-FINRA-Rule-5131September-2013.pdf / http /

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