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

  Litigation

  ALJ

  Information for...

  Divisions


Comments on NASD Rulemaking

Notice of Filing of Proposed Rule Change Relating to Amendments to NASD Rule 3011 and the Adoption of New Related Interpretive Material

(Release No. 34-51935; File No. SR-NASD-2005-066)


Dec. 15, 2005 Brant K. Brown Counsel, National Association of Securities Dealers, Inc.
Jul. 27, 2005 Alan E. Sorcher, Vice President and Associate General Counsel, Securities Industry Association
Jul. 20, 2005 John J. Lynch, Jr., Executive Vice President; Hartfield, Titus, & Donnelly, LLC
Jun. 09, 2005 Marianne Czernin, Senior VP, Director, Broker/Dealer Client Services, National Regulatory Services

 

http://www.sec.gov/rules/sro/nasd/nasd2005066.shtml


Modified: 10/16/2014