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 NASDAQ Rulemaking

Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Fee for Registering and Transferring Registration of Associated Persons

(Release No. 34-57001; File No. SR-NASDAQ-2007-099)


Feb. 11, 2008 Jeffrey S. Davis, Deputy General Counsel and Vice President, NASDAQ
Jan. 28, 2008 Memorandum regarding a January 8, 2008, meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA)
Jan. 23, 2008 Ira D. Hammerman, Senior Managing Director and General Counsel, Securities Industry and Financial Markets Association

 

http://www.sec.gov/comments/sr-nasdaq-2007-099/nasdaq2007099.shtml

Modified: 10/16/2014