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



  Information for...


Comments on NYSE Rulemaking

Notice of Filing of Proposed Rule Changes to Amend NYSE Rules 472 and 344, and NASD Rules 1050 and 2711 Relating to Research Analyst Conflicts of Interest

(Release No. 34-55072; File No. SR-NYSE-2006-78)

Mar. 17, 2007 Keith F. Higgins, Chair, Committee on Federal Regulation of Securities, American Bar Association
Mar. 5, 2007 Ari Burstein, Senior Counsel, Investment Company Institute
Mar. 5, 2007 J. Eric Anderson, Canaccord Adams Inc.; E. Michael Serbanos, Raymond James & Associates, Inc.; and Chris Walmsley, RBC Capital Markets Corporation
Mar. 5, 2007 Kurt Schacht, Managing Director, and James C. Allen, Senior Policy Analyst, CFA Centre for Financial Market Integrity
Mar. 5, 2007 Michael D. Udoff, Vice President and Associate General Counsel, Securities Industry and Financial Markets Association (SIFMA)
Mar. 2, 2007 Yoon-Young Lee, WilmerHale, Washington, D.C.
Feb. 28, 2007 David A. Hebner, Manager, Business Support Group, Wachovia Securities, LLC

Modified: 03/19/2007