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Comments on NASD Rulemaking

Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Amendments to the Rule Regarding Supervisory Control Systems, Rule 3012, to Require Notification of Reliance on “Limited Size and Resources” Exception

(Release No. 34-52195; File No. SR-NASD-2005-084)


Oct. 4, 2005 Patricia M. Albrecht, Assistant General Counsel, NASD
Aug. 30, 2005 Deirdre B. Koerick, Lincoln Investment Planning, Inc., Wyncote, Pennsylvania

 

http://www.sec.gov/rules/sro/nasd/nasd2005084.shtml


Modified: 10/16/2014