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Comments on NASD Rulemaking

Notice of Filing of Proposed Rule Change to Provide for a 10-Day Notice Requirement Before a Party Issues a Subpoena to a Non-Party for Pre-Hearing Discovery

(Release No. 34-51981; File No. SR-NASD-2005-079)


Jan. 21, 2007 Martin L. Feinberg, Esq.
Dec. 7, 2006 Steven B. Caruso, President, Public Investors Arbitration Bar Association
Dec. 6, 2006 Seth E. Lipner, Prof. of Law, Zicklin School of Business Member, Deutsch Lipner, Garden City, New York
Nov. 30, 2006 NASD Response to Comments
Nov. 20, 2006 Alan S. Brodherson, New York, New York
Sep. 7, 2006 Jim Parker, Johnson, Rial & Parker, P.C., Austin, Texas
Aug. 14, 2006 Robert S. Banks, Jr., President, Public Investors Arbitration Bar Association, Portland, Oregon
Aug. 7, 2006 Ryan P. Smith, Esq., Vice President, Attorney, Wachovia Securities, LLC, Richmond, Virginia
Jul. 28, 2006 Laurence S. Schultz, Driggers Schultz and Herbst, Troy, Michigan
Jul. 24, 2006 Carl J. Carlson, Carlson & Dennett, P.S, Seattle, Washington
Jul. 21, 2006 W. Scott Greco, Greco & Greco, P.C.
Jul. 21, 2006 Thomas C. Wagner, VanDeusen Wagner LLC, Cleveland, Ohio
Jul. 21, 2006 Steph D. M, Esq., New York, New York
Jul. 21, 2006 Jay Salamon, Cleveland, Ohio
Jul. 21, 2006 Sarah G. Anderson, Esq., Charleston, South Carolina
Jul. 21, 2006 Richard M. Layne, Esq., Portland, Oregon
Jul. 21, 2006 John Miller, Kansas City, Missouri
Jul. 21, 2006 Herbert E. Pounds, Jr., Esquire, San Antonio, Texas
Jul. 21, 2006 Joseph C. Korsak, Esq., Attorney, York, Pennsylvania
Jul. 21, 2006 Steven B. Caruso, Esq., Maddox Hargett Caruso, P.C., New York, New York
Jul. 19, 2006 Thomas C. Wagner, VanDeusen & Wagner L.L.C.
Jul. 19, 2006 Martin L. Feinberg, New York, New York
Jul. 19, 2006 Philip M. Aidikoff, Aidikoff, Uhl & Bakhtiari
Jul. 17, 2006 Seth E. Lipner, Professor of Law, Zicklin School of Business, Baruch College, CUNY Member, Deutsch Lipner, Garden City, New York
May 5, 2006 Martin L. Feinberg, Attorney at Law, New York, New York
May 1, 2006 Bryan Lantagne, Director, Massachusetts Securities Division, Chair, NASAA Broker-Dealer Arbitration Project Group, North American Securities Administrators, Inc.
Apr. 28, 2006 Robert S. Banks, Jr., Public Investors Arbitration Bar Association, Portland, Oregon
Apr. 13, 2006 Gary M. Berne, Stoll Stoll Berne Lokting & Shlachter P.C.
Aug. 4, 2005 Rosemary J. Shockman, President, Public Investors Arbitration Bar Association
Aug. 3, 2005 Tim Canning, Law Offices of Timothy A. Canning, Arcata, California
Aug. 2, 2005 Jill Gross, Director, Barbara Black, Director, and Richard Downey, Student Intern, Pace Investor Rights Project
Aug. 2, 2005 Avery B. Goodman, Esq., A.B. Goodman Law Firm, Ltd., Fort Collins, Colorado
Aug. 1, 2005 Avery B. Goodman, Esq., A.B. Goodman Law Firm, Ltd., Fort Collins, Colorado
Aug. 1, 2005 Phil Cutler, Cutler Nylander & Hayton, Seattle, Washington
Jul. 25, 2005 Al Van Kampen, Rohde & Van Kampen PLLC, Seattle, Washington
Jul. 20, 2005 Dennis M. Pape, Esq., Huntington Station
Jul. 19, 2005 Steven B. Caruso, Maddox Hargett & Caruso, P.C., New York, New York
Jul. 13, 2005 Steve Buchwalter, Law Offices of Steve A. Buchwalter, P.C.
Jul. 13, 2005 Seth E. Lipner, Deutsch & Lipner
Jul. 12, 2005 Richard Skora

 

http://www.sec.gov/rules/sro/nasd/nasd2005079.shtml


Modified: 10/16/2014