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Comments on NASD Rulemaking
Notice of Filing of Proposed Rule Change to Amend the By-Laws of NASD to Implement Governance and Related Changes to Accommodate the Consolidation of the Member Firm Regulatory Functions of NASD and NYSE Regulation, Inc.
(Release No. 34-55495; File No. SR-NASD-2007-023)
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May 5, 2008 | Memorandum from the Office of General Counsel and the Division of Trading and Markets regarding an April 29, 2008 conference call with representatives of FINRA |
Jul. 27, 2007 | Jack D. Jester |
Jul. 26, 2007 |
Jonathan W. Cuneo, Cuneo Gilbert & Laduca, LLP and Richard D. Greenfield, Greenfield & Goodman LLC |
Jul. 16, 2007 |
Mario J. Verdolini, Jr., Davis Polk & Wardwell |
Jul. 16, 2007 |
William J. Haubert, Richards, Layton & Finger |
Jul. 16, 2007 |
T. Grant Callery, Executive Vice President and General Counsel, NASD |
Jun. 11, 2007 |
Jonathan W. Cuneo, Esq. and Richard D. Greenfield, Esq., Esquire, on behalf of Benchmark Financial Services, Inc. |
June 4, 2007 | Jack D. Jester |
May 29, 2007 |
Linda D. Fienberg, President, Dispute Resolution, NASD, Washington, D.C. |
May 29, 2007 |
Patrice M. Gliniecki, Senior Vice President and Deputy General Counsel, NASD, Washington, D.C. |
May 4, 2007 |
Jonathan W. Cuneo, Esq. and Richard D. Greenfield, Esq., Esquire, on behalf of Benchmark Financial Services, Inc. |
Apr. 26, 2007 |
Joan Hinchman, Executive Director, President and CEO, National Society of Compliance Professionals |
Apr. 23, 2007 |
Michael J. Mungenast, Chief Executive Officer and President, ProEquities, Inc. |
Apr. 18, 2007 |
William F. Galvin, Secretary of the Commonwealth, Commonwealth of Massachusetts |
Apr. 17, 2007 |
Joseph P. Borg, Esq., NASAA President and Director, Alabama Securities Commission |
Apr. 16, 2007 |
William R. Pictor, Jr., President, Trubee, Collins & Co., Inc. |
Apr. 16, 2007 |
M. LaRae Bakerink, CEO, WBB Securities, LLC |
Apr. 16, 2007 |
Walter S. Robertson, III, President & CEO, Scott & Stringfellow, Inc. |
Apr. 16, 2007 |
Howard Spindel, Senior Managing Director, Integrated Management Solutions |
Apr. 16, 2007 |
Kathryn L. Lundgren, Highland Park, Illinois |
Apr. 16, 2007 |
Charlie Cray, Director, Center for Corporate Policy |
Apr. 16, 2007 |
Steven B. Caruso, President, Public Investors Arbitration Bar Association |
Apr. 16, 2007 |
Dale E. Brown, CAE, Executive Director & CEO, Financial Services Institute |
Apr. 16, 2007 |
Mark S. Casady, Chairman and Chief Executive Officer, Linsco/Private Ledger Corporation |
Apr. 16, 2007 |
William A. Johnstone, President and CEO,
D.A. Davidson & Co. |
Apr. 16, 2007 |
William C. Alsover, Chairman, Centennial Securities Company, LLC |
Apr. 16, 2007 |
Donald R, Penrod, President, Penrod and Company |
Apr. 16, 2007 |
Lisa Roth, Chairman, National Association of Independent Broker-Dealers |
Apr. 16, 2007 |
Deborah Castiglioni, CEO, Cutter & Company, Inc. |
Apr. 16, 2007 |
Bonnie K. Wachtel, Small Firm Owner |
Apr. 16, 2007 |
David W. Stringer, President,
Prospera Financial Services, Inc. |
Apr. 16, 2007 |
Ira D. Hammerman, Senior Managing Director and General Counsel, Securities Industry and Financial Markets Association |
Apr. 16, 2007 |
Johnny Q Member |
Apr. 16, 2007 |
Johnny Q Member |
Apr. 16, 2007 |
Albert Kramer, President, Kramer Securities Corporation, Miami, Florida |
Apr. 16, 2007 |
Mary M. Eitel, former owner NASD member firm, Louisville, Kentucky |
Apr. 16, 2007 |
David Isolano, CEO, Max International Broker Dealer Corp. |
Apr. 15, 2007 |
Anonymous |
Apr. 15, 2007 |
E. John Moloney, President & CEO, Moloney Securities Co., Inc. |
Apr. 15, 2007 |
Mike Miller, CPA, President, Miller Financial Corp., Mequon, Wisconsin |
Apr. 15, 2007 |
Mike Miller, CPA, President, Miller Financial Corp., Mequon, Wisconsin |
Apr. 14, 2007 |
Gary L. Haney, EA, Broker Dealer, Enrolled Agent of IRS, CEO of United Insurance Group, Inc., Seymour, Missouri |
Apr. 13, 2007 |
Craig Biddick, President, Mission Securities Corporation |
Apr. 13, 2007 |
Ronald Patterson, President, Southcoast Investment Group Inc. |
Apr. 13, 2007 |
John E. Schooler, CFP, CHfC, CFS, President of WFP Securities, San Diego, California |
Apr. 13, 2007 |
Corey N. Callaway, President of Callaway Financial Services, Inc., Arlington, Texas |
Apr. 13, 2007 |
Sam P. Solomon, Member NASD, Dallas, Texas |
Apr. 13, 2007 |
Dan Mayfield, Memphis, Tennessee |
Apr. 13, 2007 |
Warren R. Horney, Vice President, WFP Securities Corporation, San Diego, California |
Apr. 13, 2007 |
Tom Hanson |
Apr. 13, 2007 |
Edward A. H. Siedle, Esq., President,
Benchmark Financial Services, Inc. |
Apr. 13, 2007 |
John Q., NASD Member |
Apr. 13, 2007 |
Peter M. Elish, President, Elish, Inc. - NASD member firm, Canonsburg, Pennsylvania |
Apr. 13, 2007 |
Wayne A. Schultz, Esq., Chester, New Jersey |
Apr. 13, 2007 |
Jerome S. Keenan, VP International Equities Services Inc., White Plains, New York
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Apr. 13, 2007 |
Francis D. de Leeuw, CEO, Montreal, Canada |
Apr. 12, 2007 |
Robert Keenan, CEO, St. Bernard Financial Services, Inc., Russellville, Arkansas |
Apr. 12, 2007 |
Alan Vande Weerd, CFP, Eagle One Investments, LLC, Sac City, Iowa |
Apr. 12, 2007 |
Martin J. Cohen, CFP, Rockwall, Texas |
Apr. 12, 2007 |
Sennett Kirk, Kirk Securities Corporation, Denton, Texas |
Apr. 12, 2007 |
Mary M. Eitel, former owner NASD member firm, Louisville, Kentucky |
Apr. 12, 2007 |
Eric B. Arnold, CFP, EA, NAEA, Kalamazoo, Michigan |
Apr. 12, 2007 |
Kevin J. High, Managing Director, Charleston, South Carolina |
Apr. 12, 2007 |
Luke C. Schunk, Registered Representative, Tomahawk, Wisconsin |
Apr. 12, 2007 |
Gary L. Flater, CEO, Littleton, Colorado |
Apr. 12, 2007 |
Chester Hebert, CEO, CIM Securities LLC, Centennial, Colorado |
Apr. 11, 2007 |
Les Greenberg, Esquire, Culver City, California |
Apr. 11, 2007 |
Douglas W. Schriner, CEO, Harrison Douglas, Inc; NASD Dist 3 Committee, Aurora, Colorado |
Apr. 10, 2007 |
Ari Gabinet, Principal, Securities Regulation, Vanguard Group |
Apr. 8, 2007 |
Les Greenberg, Esquire, Culver City, California |
Apr. 7, 2007 |
Bob and Linda King, Missouri |
Apr. 5, 2007 |
Jack D. Jester, Three First National Plaza |
Apr. 4, 2007 |
Gretchen Harriman-Thiessen, New York |
Apr. 4, 2007 |
Michael Jordan, Control Officer, Securities Industry |
Apr. 2, 2007 |
Joseph Kosinsky, MBA, NASD, New York, New York |
Mar. 30, 2007 |
Judith Schapiro, MBA, New Jersey |
Mar. 29, 2007 |
Joel Blumenschein, President, EZ Stocks, Inc., Brookfield, Wisconsin |
Mar. 29, 2007 |
Daniel W. Roberts, Member of NASD District One Committee, San Francisco, California |
Mar. 28, 2007 |
Charles Botzum, III
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Mar. 28, 2007 |
Donald R. Hawks, President, Alpha Business Control Systems, Kensington, California
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Mar. 28, 2007 |
Robert Keenan, CEO, St. Bernard Financial Services, Inc., Member NASD, Russellville, Arkansas |
Mar. 28, 2007 |
John B. Busacca, III, Financial Industry Association, Orlando, Florida |
Mar. 26, 2007 |
Peter J. Chepucavage, General Counsel, Plexus Consulting, on behalf of the International Association of Small Broker Dealers and Advisers |
Jan. 26, 2007 |
Linda D. Fienberg, President, Dispute Resolution, Executive Vice President and Chief Hearing Officer, Regulatory Policy and Oversight, NASD |
Jan. 12, 2007 |
Public Members of the Securities Industry Conference on Arbitration |
Dec. 21, 2006 |
Mary S. Darcy, Managing Partner, The Darcy Group LLC, Syracuse, New York |
Dec. 15, 2006 |
Samuel F. Lek, Lek Seourities Corporation |
Dec. 11, 2006 |
Franco Mortarotti, Zermatt Capital Management |
http://www.sec.gov/comments/sr-nasd-2007-023/nasd2007023.shtml
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