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Comments on NASD Rulemaking

Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Representation of Parties in Arbitration and Mediation

(Release No. 34-55604; File No. SR-NASD-2006-109)


Oct 19, 2007 Carl J. Carlson, Carlson & Dennett, P.S, Seattle, Washington
Sep. 17, 2007 Mignon McLemore, Assistant Chief Counsel, FINRA Dispute Resolution
May 4, 2007 Tim Canning, Law Offices of Timothy A. Canning, Arcata, California
May 4, 2007 Vincent DiCarlo
May 4, 2007 Jill I. Gross, Esquire, Pace University School of Law, Professor of Law - Director of Pace Investors Rights Project, White Plains, New York
May 3, 2007 Irwin G. Stein, Esq., Novato, California
May 3, 2007 Richard Sacks, Investors Recovery Service, Novato, California

 

http://www.sec.gov/comments/sr-nasd-2006-109/nasd2006109.shtml

Modified: 10/16/2014