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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)



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
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
Mar. 28, 2007 Donald R. Hawks, President, Alpha Business Control Systems, Kensington, California
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

Modified: 10/16/2014