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Comments on NASD Rulemaking

Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change to Expand the Scope of NASD Rule 2440 and Interpretive Material 2440 Relating to Fair Prices and Commissions to Apply to All Securities Transactions

(Release No. 34-53562; File No. SR-NASD-2006-005)


Oct. 2, 2006 Stephanie M Dumont, Vice President and Associate General Counsel, NASD, Washington, District of Columbia
May 4, 2006 Mary C. M. Kuan, Vice President and Assistant General Counsel, The Bond Market Association
Apr. 6, 2006 Dan Mayfield, President, Sanderlin Securities

 

http://www.sec.gov/comments/sr-nasd-2006-005/nasd2006005.shtml


Modified: 10/16/2014