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Comments on NYSE and NASD Rulemaking

Notice of Filing of Proposed Rule Changes by the New York Stock Exchange, Inc. Relating to Exchange Rules 344 ("Supervisory Analysts"), 345A ("Continuing Education for Registered Persons"), 351 ("Reporting Requirements") and 472 ("Communications with the Public") and by the National Association of Securities Dealers, Inc. Relating to Research Analyst Conflicts of Interest

(Release No. 34-47110; File No. SR-NYSE-2002-49; SR-NASD-2002-154)

  • Comments of Deborah A. Lamb, Chair, U.S. Advocacy Committee; and Linda L. Rittenhouse, Staff, AIMR Advocacy, Association for Investment Management and Research (AIMR), July 15, 2003 (File name: aimr071503.htm)
  • Comments of Bruce W. Maisel, VP & Senior Corporate Counsel, Charles Schwab & Co., Inc., June 30, 2003 (File name: charlesschwab063003.htm)
  • Comments of Charles Williams, Managing Director and Chief Operating Officer, Banc of America Securities, June 26, 2003 (File name: bancamer062603.pdf)

  • Comments of Robert C. Dinerstein, Chairman, Federal Regulation Committee, Securities Industry Association, June 26, 2003 (File name: sia062603.htm)
  • Comments of Charles Williams, Managing Director and Chief Operating Officer, Banc of America Securities, June 26, 2003 (File name: bancamer062603.htm)
  • Comments of Yoon-Young Lee, Wilmer, Cutler & Pickering, on behalf of of Banc of America Securities LLC; Citigroup Global Markets Inc.; Credit Suisse First Boston LLC; Goldman, Sachs & Co.; JPMorgan Securities Inc.; Lehman Brothers Inc.; Merrill Lynch, Pierce, Fenner & Smith Incorporated; Morgan Stanley & Co. Incorporated; and UBS Securities LLC, June 25, 2003 (File name: wilmer062503.htm)
  • Comments of Karen L. Barr, General Counsel, Investment Counsel Association of America, June 19, 2003 (File name: icaa061903.htm)
  • Comments of Sullivan & Cromwell LLP, June 19, 2003 (File name: sullivan061903.htm)
  • Comments of Robert C. Dinerstein, Chairman, SIA Federal Regulation Committee, Securities Industry Association, May 9, 2003 (File name: sia050903.htm)
  • Comments of Pierre M. Gentin, Director and General Counsel, Global Research, Credit Suisse First Boston LLC, April 16, 2003 (File name: srnyse200249-18.pdf)

  • Comments of Bruce W. Maisel, VP & Senior Corporate Counsel, Charles Schwab & Co., Inc., March 20, 2003 (File name: bwmaisel1.htm)
  • Comments of Robert C. Dinerstein, Chairman, Federal Regulation Committee, Securities Industry Association, March 19, 2003 (File name: sia031003.pdf)

  • Comments of Yoon-Young Lee, Wilmer, Cutler & Pickering, on behalf of Banc of America Securities LLC; Credit Suisse First Boston LLC; Goldman, Sachs & Co.; JPMorgan Securities Inc.; Lehman Brothers Inc.; Merrill Lynch, Pierce, Fenner & Smith Incorporated; Morgan Stanley & Co. Incorporated; and UBS Warburg LLC, March 11, 2003 (File name: yylee1.htm)
  • Comments of Adams, Harkness & Hill, Inc.; AG Edwards; Keefe, Bruyette & Woods, Inc.; Pacific Growth Equities, LLC; RBC Capital Markets; Stephens, Inc.; Stifel Nicolaus & Company; William Blair & Company, March 10, 2003 (File name: adamsharkness1.htm)
  • Comments of Stifel, Nicolaus & Company, Incorporated, March 10, 2003 (File name: stifel1.htm)
  • Comments of Christine A. Bruenn, President, The North American Securities Administrators Association, Inc., March 10, 2003 (File name: cabruenn1.htm)
  • Comments of Robert C. Dinerstein, Chairman-SIA Federal Regulation Committee, Securities Industry Association, March 10, 2003 (File name: rcdinerstein1.htm)
  • Comments of Scott C. Cleland, Chairman of Investorside Research Association and CEO of the Precursor Group; John M. Eade, Vice Chairman of Investorside Research Association and President of Argus Research, March 10, 2003 (File name: sccleland1.htm)
  • Comments of Gibson, Dunn & Crutcher LLP on behalf of The Associated Press, Dow Jones & Company, Inc., Forbes Inc., Gannett Company, Inc., The McGraw-Hill Companies, Inc., The Newspaper Association of America, The New York Times Company, Reuters, Time Inc., Tribune Company, The Washington Post Company, March 10, 2003 (File name: gibsondunn1.htm)
  • Comments of David Prince, Chief Legal Officer, SunTrust Capital Markets, Inc., March 10, 2003 (File name: dprince1.htm)
  • Comments of Martin D. Weiss, Ph.D., Weiss Ratings, Inc., March 10, 2003 (File name: mdweiss1.htm)
  • Comments of Deborah A. Lamb, Chair, U.S. Advocacy Committee; Linda L. Rittenhouse, Staff, AIMR Advocacy, Association for Investment Management and Research, March 6, 2003 (File name: dalamb1.htm)
  • Comments of Vahan Janjigian, Ph.D., CFA, Forbes, Inc., February 27, 2003 (File name: vjanjigian1.txt)
  • Comments of Matthew Winkler, Editor-in-Chief, Bloomberg News, February 19, 2003 (File name: mwinkler1.htm)
  • Comments of Robert Lin, November 11, 2002 (File name: rlin1.txt)

 

http://www.sec.gov/rules/sro/ny200249nd2002154.shtml


Modified: 11/28/2003