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Comments on NASD Rulemaking

Notice of Filing of Proposed Rule Change and Amendments Nos. 1 and 2 by the National Association of Securities Dealers, Inc., Relating to the Application of NASD's Mark-Up Policy to Transactions in Government and Other Debt Securities

(Release No. 34-40511; File No. SR-NASD-97-61)

  • Comments of Lee B. Spencer, Jr., Chairman, Federal Regulation Committee, and R. Gerald Baker, Chairman, Self-Regulation Committee, December 14, 1998. (File name: spencer1.htm)

http://www.sec.gov/rules/sro/nd9761nc.shtml


Modified: 01/14/99