SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


Comments on NASD Rulemaking

Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASD Rule 3013 and Accompanying Interpretive Material 3013

(Release No. 34-56285; File No. SR-NASD-2007-049)


Aug. 15, 2007 Evan J. Charkes, Citigroup Global Markets Inc.
Aug. 10, 2007 Michelle Bryan Oroschakoff, Managing Director, and Jill W. Ostergaard, Managing Director, Morgan Stanley & Co., Inc.

 

http://www.sec.gov/comments/sr-nasd-2007-049/nasd2007049.shtml


Modified: 10/16/2014