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Comments on Rulemaking Petition:
Request for Rulemaking Concerning Soft Dollars and Directed Brokerage

[File No. 4-492]

  • Mary McDermott-Holland, Chairman and John Giesea, President and CEO, Security Traders Association, October 12, 2004 (File name: 4492-11.pdf)
     
  • John Eade, Co-Founder and Chairman, Investorside Research Association, President, Argus Research, et al., September 3, 2004 (File name: 4492-10.pdf)
     
  • John Eade, Co-Founder and Chairman, Investorside Research Association, President, Argus Research, et al., August 11, 2004 (File name: 4492-9.pdf)
     
  • Zoe Boza and Randall Thomas, firmView, Inc., June 17, 2004 (File name: 4492-8.pdf)
     
  • Jon S. Fossel, Double F Ranch, Ennis, Montana, May 3, 2004 (File name: 4492-7.pdf)
     
  • Comments of Richard G. Reid, Assistant General Counsel, Dow Jones & Company, April 16, 2004 (File name: 4492-6.pdf)
     
  • Comments of Jack D. Hidary, Managing Director, Vista Research, April 7, 2004 (File name: 4492-5.pdf)
     
  • Comments of Scott Cleland, Chairman, Investorside Research Association and CEO, Precursor Group; John Eade, Vice Chairman, Investorside Research Association and President, Argus Research; Lisa Shalett, Director, Investorside Research Association and CEO, Sanford Bernstein, Mar. 8, 2004 (File name: 4-492-4.pdf)
     
  • Comments of Sophia Collier, Citizens Advisors, Inc., Mar. 3, 2004 (File name: 4-492-2.pdf)
     
  • Comments of John S. Brush, President, Columbine Capital Services, Inc., Feb. 2, 2004 (File name: 4-492-3.pdf)
     
  • Comments of Lee A. Pickard, Esq., Pickard and Djinis LLP, Jan. 30, 2004 (File name: 4-492-1.pdf)
     

 

http://www.sec.gov/rules/petitions/4-492.shtml


Modified: 10/16/2014