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Comments on NASD Rulemaking

Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Sub-Penny Restrictions for Non-Nasdaq Over-the-Counter Equity Securities

(Release No. 34-52280; File No. SR-NASD-2005-095)


Feb. 14, 2007 Andrew B. Stevens, Assistant General Counsel, NYSE Group, Inc., and Greg O'Connor, Director of Compliance, Archipelago Trading Services, Inc.
Mar. 6, 2006 Pershing LLC
Feb. 21, 2006 Patrick E. Brake, Jr., General Counsel; Hill, Thompson, Magid & Co., Inc.
Feb. 17, 2006 Jerry O'Connell, Chairman , Trading Committee, Securities Industry Association
Feb. 8, 2006 William Yancey, Chairman and John C. Giesea, President and CEO, Security Traders Association
Jan. 24, 2006 R. Cromwell Coulson, Chief Executive Officer, Pink Sheets LLC
Jan. 24, 2006 Phylis M. Esposito, Executive Vice President, Chief Strategy Officer, Ameritrade, Inc.
Jan. 24, 2006 Leonard J. Amoruso, Knight Capital Group, Inc.
Jan. 24, 2006 Michael Santucci, President; Kimberly Unger, Esq., Executive Director; and Stephen J. Nelson, Esq., Co-Chair, Security Traders Association of New York, Inc., Trading Issues Committee
Oct. 31, 2005 Phylis M. Esposito, Executive Vice President, Chief Strategy Officer, Ameritrade, Inc.
Sep. 23, 2005 Kevin J. P. O'Hara, Chief Administrative Officer & General Counsel, Archipelago Trading Services, Inc.

 

http://www.sec.gov/rules/sro/nasd/nasd2005095.shtml


Modified: 10/16/2014