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Comments on NASD Rulemaking

Notice of Filing of Proposed Rule Change Relating to Proposed Rule 2342 Requiring Members to Provide New Customers, and All Customers Annually, Specific Information About the Securities Investor Protection Corporation ("SIPC")

(Release No. 34-54871; File No. SR-NASD-2006-124)


Jun. 6, 2007 Josephine Wang, General Counsel, Securities Investor Protection Corporation
Feb. 13, 2007 Frederick G. Ferrara, CFA, Chief Compliance Officer, Panattoni Securities, Inc.
Feb. 7, 2007 Shirley Weiss, NASD, Washington, District of Columbia
Jan. 12, 2007 Noland Cheng, Chairman, SIFMA Operations Committee
Jan. 10, 2007 Christine E. Saccente, Vice President, Chief Compliance Officer, Operations Manager, Maxwell Noll Inc., Pasadena, California
Dec. 30, 2006 John Harris, Chief Executive Officer, BondMart, Inc., New York, New York
Dec. 28, 2006 William R. Sykes, CFP, President, Sykes Financial Services LLC, Member NASD
Dec. 22, 2006 Kenneth M. Cherrier, JD, FLMI, Chief Compliance Officer, Fintegra Financial Solutions
Dec. 22, 2006 Michael A. Pagano, JD, CFCP, CLU, 1st Global Capital Corp., Dallas, Texas
Dec. 22, 2006 E. C. Blitz
Dec. 21, 2006 Philip C. McMorrow, CFP, President, Cantella Co., Inc., Boston, Massachusetts
Dec. 20, 2006 Frederick G. Ferrara, CFA, Chief Compliance Officer, Panattoni Securities, Inc.

 

http://www.sec.gov/comments/sr-nasd-2006-124/nasd2006124.shtml

Modified: 10/16/2014