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Comments on Proposed Rule:
Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934

(Release No. 34-40518; S7-26-98)

  • Comments of Meeting held October 15, 2001 with representatives from the industry and the States regarding the Amendments to the Books and Records Rules, October 16, 2001.(File name: gauch1.htm)

  • Comments of Donald R. Brown, Partner, and Rosilyn H. Overton, CFP, Partner, Registered Securities Principal, March 5, 1999.(File name: brown1.htm)

  • Comments of Shomit Ghose, January 6, 1999. (File name: ghose1.txt)

  • Comments of Michael J. Di Girolamo, Vice President, Investment Management & Research, Inc., December 11, 1998. (File name: girolam1.htm)

  • Comments of David L. Hunter, Deputy State Auditor, December 9, 1998. (File name: hunter1.htm)

  • Comments of Melanie Senter Lubin, Securities Commissioner, Maryland Securities Division, Office of the Attorney General, December 9, 1998. (File name: lubin1.htm)

  • Comments of Joseph P. Tuorto, Senior Vice President and Chief Compliance Officer, Raymond James and Associates Inc., December 9, 1998. (File name: tuorto1.htm)

  • Comments of Lisa Nuss, Acting Chief of Registration and Licensing, State of Oregon, December 9, 1998. (File name: nuss1.txt)

  • Comments of Patricia D. Struck, Administrator, Wisconsin DFI Division of Securities, December 9, 1998. (File name: struck1.htm)

  • Comments of Roger D. Blanc, Willkie Farr & Gallagher, December 9, 1998. (File name: blanc1.htm)

  • Comments of Franklin L. Widmann, Chief, Bureau of Securities, New Jersey Bureau of Securities, December 9, 1998. (File name: widmann1.htm)

  • Comments of Robert H. Watts, Senior Vice President & Chief Compliance Officer, John Hancock Mutual Life Insurance Company, December 9, 1998. (File name: watts1.htm)

  • Comments of Michael E. Toland, New England Securities, December 9, 1998. (File name: toland1.htm)

  • Comments of Maureen W. Sullivan, Counsel to M&T Securities, Inc., December 9, 1998. (File name: sulliva1.htm)

  • Comments of Marianne K. Smythe, Wilmer, Cutler and Pickering, December 9, 1998. (File name: smythe1.htm)

  • Comments of Michael J. Anderson, President, Ameritrade (Inc.), Richard H. Neiman, Executive Vice President, Waterhouse Securities, Inc., Denise Benou Stires, Senior Vice President, Discover Brokerage Direct, Inc., et.al., December 9, 1998. (File name: anderso1.htm)

  • Comments of William C. Alsover, President, Centennial Securities Company, December 9, 1998. (File name: alsover1.txt)

  • Comments of Leslie A. Harrison, Senior Corporate Counsel, PNMR Securities, Inc., December 9, 1998. (File name: harriso1.txt)

  • Comments of Craig A. Goettsch, Superintendent of Securities, Iowa Securities Bureau, December 9, 1998. (File name: goettsc1.htm)

  • Comments of David S. Pottruck, Charles Schwab & Co., Inc., December 9, 1998. (File name: pottruc1.htm)

  • Comments of Douglas H. Myers, President, ManEquity, Inc., December 9, 1998. (File name: myers1.htm)

  • Comments of Peter J. Diskin, Director of Securities Registration and Licensing, State of Georgia, December 9, 1998. (File name: diskin1.htm)

  • Comments of Mac Dodson, Commissioner, Arkansas Securities Department, December 8, 1998. (File name: dodson1.htm)

  • Comments of Michael L. Michael, Vice President, Chief Compliance Officer, Fidelity Investments, December 8, 1998. (File name: michael1.htm)

  • Comments of Victor Rodarte, Acting Director of Securities, Arizona Corporation Commission's Securities Division, December 8, 1998 (File name: rodarte1.htm)

  • Comments of Edward E. Hill, CLU, Senior Vice President – Compliance, MONY Securities Corporation, December 8, 1998 (File name: hill1.htm)

  • Comments of Joseph Fox, President, Web Street Securities, Inc., December 8, 1998. (File name: fox1.htm)

  • Comments of William J. Verant, Acting Director, New Mexico Securities Division, December 8, 1998. (File name: verant1.txt)

  • Comments of Richard S. Cortese, Deputy Commissioner, Vermont Securities Division, December 8, 1998. (File name: cortese1.txt)

  • Comments of Clifford Jack, President, National Planning Corporation, December 8, 1998. (File name: jack1.htm)

  • Comments of Marion Lewis, December 7, 1998. (File name: lewis1.htm)

  • Comments of Benoit Chenette, EDPP, Independent Document Technology Consultant, December 7, 1998. (File name: chenett1.htm)

  • Comments of Garland H. Sharp, III, Chief Examiner, Division of Securities and Retail Franchising, Virginia State Corporation Commission, December 7, 1998. (File name: vsccsrf1.htm)

  • Comments of Preston V. Pumphrey, Pumphrey Securities, December 7, 1998. (File name: pumphre1.htm)

  • Comments of Brian C. Underwood. Senior Vice President - Director of Compliance, A.G. Edwards & Sons, Inc., December 7, 1998. (File name: underwo1.htm)

  • Comments of Deborah Bortner, Director of Securities, Washington State Securities Division, December 4, 1998. (File name: bortner1.htm)

  • Comments of Maurice O. Cox, Supervising Examiner, Securities Regulation Division, State of California, December 4, 1998 (File name: cox1.htm)

  • Comments of Michael L. Kerley, Vice President and Chief Legal Officer, MML Investors Services Inc., December 4, 1998. (File name: kerley1.htm)

  • Comments of David Brant, Securities Commissioner, November 30, 1998, 1998. (File name: brant1.htm)

  • Comments of Lawrence M. Lowman, Chief Compliance Officer, November 24, 1998. (File name: lowman1.htm)

  • Comments of Michael J.C. Roth, President, USAA Investment Management Company, November 9, 1998. (File name: roth1.htm)

  • Comments of Linda L. Rittenhouse, President, Advocacy,Legislative & Regulatory Affairs, November 9, 1998. (File name: rittenh1.htm)

  • Comments of Debra M. Bollinger, Director, Division of Securities, State of South Dakota, November 6, 1998. (File name: bolling1.htm)

  • Comments of W. Hardy Callcott, Vice President & Deputy General Counsel, Charles Schwab & Co., Inc., October 29, 1998. (File name: callcott1.htm)

  • Comments of Thomas P. Koutris, October 26, 1998. (File name: koutris1.txt)

  • Comments of Robert H. Newtson, Director, Illinois Securities Department, October 22, 1998. (File name: newtson1.htm)

http://www.sec.gov/rules/proposed/s72698.shtml


Modified: 10/16/2014