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

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Business Continuity Plans and Emergency Contact Information

(Release No. 34-46444; File No. SR-NASD-2002-108)

  • Comments have been received from individuals and entities using a variety of Letter Types:
    1. 8 individuals or entities using Letter Type A (File name: nasd2002108typea.htm)

  • Comments of W. Thomas Boulter, Vice President & Chief Compliance Officer, Jefferson Pilot Securities Corporation, October 17, 2003 (File name: jefferson101703.htm) nasd-2002-108

  • Comments of Joseph H. Moglia, CEO, Ameritrade Holding Corporation, October 17, 2003 (File name: srnasd2002108-12.pdf)

  • Comments of Henry H. Hopkins, Vice President & Chief Legal Counsel, and John R. Gilner, Vice President & Associate Legal Counsel, T. Rowe Price Group, Inc., October 16, 2003 (File name: srnasd2002108-8.pdf)

  • Comments of Barry S. Augenbraun, Senior Vice President and Corporate Secretary, Raymond James Financial, Inc., October 16, 2003 (File name: srnasd2002108-11.pdf)

  • Comments of Jerry W. Klawitter, SIA Business Continuity Planning Committee, Securities Industry Association, October 16, 2003 (File name: sia101603.htm)

  • Comments of Jerry W. Klawitter, SIA Business Continuity Planning Committee, TBMA Business Continuity Management Council, Securities Industry Association, March 31, 2003 (File name: sia033103.htm)
  • Comments of Jerry W. Klawitter, SIA Business Continuity Planning Committee, TBMA Business Continuity Management Council, on behalf of The Securities Industry Association and the Bond Market Association, September 30, 2002 (File name: jwklawitter1.htm)





http://www.sec.gov/rules/sro/nasd2002108.shtml


Modified: 01/15/2004