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Comments on NASD Rulemaking
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Interpretive Material to NASD Rule 3060 to Require Members to Adopt Policies and Procedures Addressing Business Entertainment
(Release No. 34-55765; File No. SR-NASD-2006-044)
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Comments have been received from individuals and entities using the following Letter Type A: 14 |
Apr. 18, 2007 | Amal Aly, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association |
Apr. 8, 2007 | Memorandum from the Division of Trading and Markets regarding an April 8, 2008, meeting with representatives of Securities and Industry and Financial Markets Association |
Sep. 20, 2007 | John Ramsay, Managing Director, Citigroup Global Markets Inc. |
Jun. 22, 2007 | Thomas Conway, Royal Alliance Associates |
Jun. 15, 2007 | Scott C. Kursman, Senior Vice President, Lehman Brothers Inc. |
Jun. 12, 2007 | Paul J. Tolley, Chief Compliance Officer, Commonwealth Financial Network, Waltham, Massachusetts |
Jun. 12, 2007 | Sarah A. Miller, General Counsel, ABA Securities Association |
Jun. 12, 2007 | Dale E. Brown, CAE, President & CEO, Financial Services Institute, Inc. |
Jun. 12, 2007 | Milissa M. Brennan, Compliance Supervisor, Great American Advisors |
Jun. 12, 2007 | Jill Gross, Directory of Advocacy and Jay Yamamoto, Student Intern, Pace Investor Rights Project |
Jun. 11, 2007 | Ira D. Hammerman, Senior Managing Director and General Counsel, Securities Industry and Financial Markets Association |
Jun. 11, 2007 | Board of Directors, National
Association of Independent Broker-Dealers |
Jun. 11, 2007 | Douglas G. Preston, Senior Vice President, Head of Regulatory Affairs, Bank of America Corporation, New York, New York |
Jun. 11, 2007 | Jane G. Heinrichs, Associate Counsel, Investment Company Institute |
Jun. 11, 2007 | Michael Pagano, JD, CFCP, CLU, Dallas, Texas |
Jun. 8, 2007 | Darrell N. Braman, Vice President
and Associate Legal Counsel, John R. Gilner, Vice President and Chief Compliance Officer of the Price Funds, Henry H. Hopkins, Vice President and Chief Legal Counsel, and Sarah McCafferty, Vice President and Chief Compliance Officer, T. Rowe Price Investment Services,Inc. |
Jun. 1, 2007 | John C. Melton, Sr., Coastal Securities, Houston, Texas |
May 17, 2007 | Judith Schapiro, MBA, New Jersey |
Jul. 17, 2006 | Lynnette K. Hotchkiss, Senior Vice President and Associate General Counsel, The Bond Market |
http://www.sec.gov/comments/sr-nasd-2006-044/nasd2006044.shtml
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