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Comments on NASD Rulemaking

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change Relating to Supervisory Control Amendments

(Release No. 34-46859; File No. SR-NASD-2002-162)

  • Comments of Lisa Roth, President, Monahan & Roth, LLC, October 29, 2003 (File name: monahanroth102903.htm)

  • Comments of Ralph A. Lambiase, NASAA President and Director, Connecticut Division of Securities, North American Securities Administrators Association, Inc., October 24, 2003 (File name: srnasd2002162-89.pdf)

  • Comments of S. Kendrick Dunn, Assistant Vice President, Pacific Select Distributors, Inc., October 3, 2003 (File name: srnasd2002162-85.pdf)

  • Comments of Dennis S. Kaminski, Executive Vice President, Chief Administrative Officer, Mutual Service Corporation, October 3, 2003 (File name: srnasd2002162-82.pdf)

  • Comments of Carl B. Wilkerson, Chief Counsel, Securities & Litigation, American Council of Life Insurers, October 3, 2003 (File name: acli100303.htm)

  • Comments of John Polanin Jr., Chairman, Self-Regulation and Supervisory Practices Committee, Securities Industry Association, October 3, 2003 (File name: sia100303.htm)

  • Comments of Julie Gebert, Vice President, Director of Compliance, United Planners Financial Services of America, October 3, 2003 (File name: upfsa100303.txt)

  • Comments of John Polanin Jr., Chairman, Self-Regulation and Supervisory Practices Committee, Securities Industry Association, October 3, 2003 (File name: sia100303.htm)

  • Comments of Pamela K. Cavness, Director of Compliance, Edward D. Jones & Co., LP, October 2, 2003 (File name: srnasd2002162-80.pdf)

  • Comments of Neal E. Nakagiri, President and Chief Executive Officer, Associated Securities Corp., October 2, 2003 (File name: srnasd2002162-81.pdf)

  • Comments of Terry L. Lister, Counsel, September 30, 2003 (File name: srnasd2002162-83.pdf)

  • Comments of Barbara Black, Director; Jill I. Gross, Director; Jessica Longobardi, Student Intern, Pace Investor Rights Project, Pace University School of Law, October 2, 2003 (File name: srnasd2002162-84.pdf)

  • Comments of Robert S. Rosenthal, Second Vice President and Associate General Counsel, August 29, 2003 (File name: srnasd2002162-79.pdf)

  • Comments of Scott L. Fagin, CCO/CFO, Jeffrey Matthews Financial Group, LLC, July 31, 2003 (File name: srnasd2002162-78.pdf)

  • Comments of James F. McGuire, Senior Vice President, Chief Compliance Officer, Linsco/Private Ledger, Corp, January 16 , 2003 (File name: jfmcguire1.htm)

  • Comments of Beth E. Weimer, Chief Compliance Officer, American Express Financial Advisors Inc., January 17, 2003 (File name: beweimer1.htm)

  • Comments of Rod P. Michel, President, World Trade Financial Corporation, December 31, 2002 (File name: rpmichel1.htm)

  • Comments of Bridget M. Gaughan, Executive Vice President, Chief Legal and Regulatory Counsel, AIG Advisor Group, Inc., December 30, 2002 (File name: bmgaughan1.htm)

  • Comments of Marcia L. Martin, President, CUNA Brokerage Services, Inc., December 30, 2002 (File name: mlmartin1.htm)

  • Comments of Terry L. Lister, General Counsel, Cambridge Investment Research, Inc., December 20, 2002 (File name: tllister1.htm)

  • Comments of Neal E. Nakagiri, President and Chief Executive Officer, Associated Securities Corp., December 19, 2002 (File name: nenakagiri1.htm)

  • Comments of Michael G. Brennan, Associate Counsel & Assistant Secretary, Woodbury Financial Services, Inc., December 18, 2002 (File name: mgbrennan1.htm)

  • Comments of John L. Dixon, President, Pacific Select Distributors, Inc., December 18, 2002 (File name: jldixon1.htm)

  • Comments of Christopher R. Franke, Chairman, Self-Regulation and Supervisory Practices Committee, Securities Industry Association, December 18, 2002 (File name: crfranke1.htm)

  • Comments of Adam Antoniades, President/COO, First Allied Securities, Inc., December 18, 2002 (File name: aantoniades1.htm)

  • Comments of Craig A. Junkins, President and Chief Executive Officer, FFP Securities, December 18, 2002 (File name: cajunkins1.htm)

  • Comments of Gregory D. Teese, Vice President, Compliance, Equity Services, Inc., December 18, 2002 (File name: gdteese1.htm)

  • Comments of Charles Lesko, Jr., President, Lesko Securities, Inc., December 18, 2002 (File name: clesko1.htm)

  • Comments of Robert Roth, President, MWA Financial Services, Inc., December 18, 2002 (File name: rroth1.htm)

  • Comments of Brian C. Underwood, Senior Vice President - Director of Compliance, A.G. Edwards & Sons, Inc., St. Louis, Mo., December 18, 2002 (File name: bcunderwood1.htm)

  • Comments of Dennis S. Kaminski, Executive Vice President/CAO, Mutual Service Corporation, December 18, 2002 (File name: dskaminski1.htm)

  • Comments of John M. Lefferts, President, AXA Advisors, LLC, December 18, 2002 (File name: jmlefferts1.htm)

  • Comments of Paul M. Phalen, CLU, FLMI, Assistant Vice President - Variable Product Services, December 17, 2002 (File name: pmphalen1.htm)

  • Comments of Sandra T. Masek, EVP/Chief Compliance Officer, Rhodes Securities, Inc., December 17, 2002 (File name: stmasek1.htm)

  • Comments of Victoria Bach-Fink, Executive Vice President, Wall Street Financial Group, Inc., Rochester, N.Y., December 16, 2002 (File name: vbach-fink1.htm)

  • Comments of John L. Dixon, President of Pacific Select Distributors, Inc. (subsidiary of Pacific Life Insurance Company), December 13, 2002 (File name: jldixon1.htm)

 

http://www.sec.gov/rules/sro/nasd2002162.shtml


Modified: 04/06/2004