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Comments on NASD Rulemaking

Notice of Filing of Proposed Rule Change to Adopt an Additional Mark-Up Policy for Transactions in Debt Securities Except Municipal Securities

(Release No. 34-51338; File No. SR-NASD-2003-141)

  • Sharon K. Zackula, Associate General Counsel, NASD, Washington, D.C., January 12, 2007 (File name: skzackula8517.pdf)
     
  • Robyn A. Huffman, Managing Director, Associate General Counsel, Goldman, Sachs & Co., January 5, 2007 (File name: nasd2003141-12.pdf)
     
  • Edward F. Greene, General Counsel, Corporate and Investment Banking, Citigroup Global Markets Inc., January 5, 2007 (File name: nasd2003141-10.pdf)
     
  • Robbin Conner, Vice President and Assistant General Counsel, Securities Industry and Financial Markets Association, January 4, 2007 (File name: nasd2003141-9.pdf)
     
  • Mary C.M. Kuan, Vice President and Assistant General Counsel, Securities Industry and Financial Markets Association, January 3, 2007 (File name: nasd2003141-8.pdf)
     
  • Sharon K. Zackula, Associate General Counsel, NASD, October 4, 2005 (File name: nasd2003141-7.pdf)
     
  • Memorandum from the Office of the Chief Counsel regarding a October 20, 2005 meeting with representatives of J.P. Morgan Chase, UBS Investment Bank, and the Bond Market Association, dated October 26, 2005 (File name: memo102605.pdf)
     
  • Debbie Cunningham, Federated Investors, Chair, ASF Investor Committee and Bianca Russo, J.P. Morgan Securities Inc., Chair, ASF Regulatory Subcommittee; American Securitization Forum, July 26, 2005 (File name: srnasd2003141-6.pdf)
     
  • John R. Gidman and David L. Murphy, The Asset Managers Forum, June 28, 2005 (File name: amf062805.pdf)
     
  • Memorandum from the Office of the Chairman regarding a May 10, 2005 meeting with representatives of The Bond Market Association, dated May 20, 2005 (File name: memo_bma052005.pdf)
     
  • Edward F. Greene, General Counsel, Corporate and Investment Banking, Citigroup Global Markets Inc., April 14, 2005 (File name: efgreene041405.pdf)
     
  • William C. Caccamise, General Counsel & Managing Director, Banc of America Securities LLC, New York, New York, April 14, 2005 (File name:wccaccamise8744.pdf)
     
  • Michele C. David, Vice President and Assistant General Counsel, The Bond Market Association, April 5, 2005 (File name: mdavid040505.pdf)
     
  • Paul Scheurer, April 5, 2005 (File name: pscheurer040505.htm)
     

 

http://www.sec.gov/rules/sro/nasd/nasd2003141.shtml

Modified: 10/16/2014