Securities Management and Research, Inc. and Berthel Fisher & Company Financial Services, Inc. Comment On Regulatory Notice 26-06
April 29, 2026
Ms. Jennifer Piorko Mitchell
Office of Corporate Secretary
FINRA
1700 K. Street, NW
Washington, DC 20006
Re: Regulatory Notice 26-06- Request for Comment on Modernizing FINRA Arbitration Rules,
Guidance and Processes
Dear Ms. Mitchell: