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Comments on NASD Rulemaking
Notice of Proposed Rule Change and Amendment No. 1 thereto Relating to Amendments to Rule 2340 (Customer Account Statements)
(Release No. 34-51181; File No. SR-NASD-2004-171)
- Comments have been received from individuals and entities using a variety of Letter Types:
- Craig Biddick, President, Mission Securities Corporation, March 11, 2005 (File name: srnasd2004171-4.pdf)
- Rosemary J. Shockman, President, Public Investors Arbitration Bar Association, March 9, 2005 (File name: srnasd2004171-7.pdf)
- John Polanin, Jr., Chairman, Securities Industry Association Self Regulation and Supervisory Practices Committee, March 9, 2005 (File name: sia030905.pdf)
- Andrew C. Small, General Counsel, Scottrade, March 8, 2005 (File name: nasd2004171asmall.pdf)
- John Miller, Law Office of John J. Miller, P.C., March 2, 2005 (File name: jmiller030205.pdf)
- Geraldine Genco, Broker Dealer, RIA Compliance & Consulting, February 21, 2005 (File name: ggenco022105.htm)
- Christopher Charles, President, Wulff Hansen & Co., February 17, 2005 (File name: srnasd2004171-1.pdf)
http://www.sec.gov/rules/sro/nasd/nasd2004171.shtml
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