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 NYSE and NASD Rulemaking

Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 3, Relating to the Prohibition of Certain Abuses in the Allocation and Distribution of Shares in Initial Public Offerings ("IPOs")

(Release No. 34-61690; File No. SR-NASD-2003-140)

Notice of Filing of Proposed Rule Changes Relating to the Prohibition of Certain Abuses in the Allocation and Distribution of Shares in Initial Public Offerings ("IPOs")

(Release No. 34-50896; File No. SR-NYSE-2004-12 and SR-NASD-2003-140)

  • Christopher J. Ailman, Chief Investment Officer, California State Teachers' Retirement System, March 27, 2006 (File name: cjailman032706.pdf)
     
  • Christianna Wood, Senior Investment Officer, CalPERS Global Equity, March 13, 2006 (File name: cwood031306.pdf)
     
  • Phil Angelides, California State Teasurer; Michael Fitzgerald, Iowa State Treasurer; Randall Edwards, Oregon State Treasurer; Richard Moore, North Carolina State Treasurer; Alan Hevesi, New York Comptroller; George Philip, New York State Teachers' Retirement System; Orin S. Kramer, Chairman, New Jersey State Investment Council, December 30, 2005 (File name: srnyse200412-9.pdf)
     
  • Eliot Spitzer, Attorney General, Office of the Attorney General, State of New York, December 30, 2005 (File name: spitzer123005.pdf)
     
  • Michael Touff, Senior Vice President and General Counsel, M.D.C. Holdings, November 1, 2005 (File name: srnyse200412-7)
     
  • Dixie L. Johnson, Committee Chair, Committee on Federal Regulation of Securities, Business Law Section, American Bar Association, March 8, 2005 (File name: aba030805.pdf)
     
  • Edward M. Alterman, Special Counsel, Fried, Frank, Harris, Shriver & Jacobson LLP, February 27, 2005 (File name: emalterman022705.pdf)
     
  • John Faulkner, Chairman, SIA Capital Markets Committee, Securities Industry Association, February 15, 2005 (File name: jfaulkner021504.pdf)
     
  • Ross Langill, January 20, 2005 (File name: rlangill012005.pdf)
     
  • Mark G. Heesen, President, National Venture Capital Association, January 19, 2005 (File name: mgheesen011905.pdf)
     
  • Renaissance Capital, January 18, 2005 (File name: renaissance011805.htm)
     
  • Dixie L. Johnson, Committee Chair, Committee on Federal Regulation of Securities, and Peter W. LaVigne, Chair, NASD Corporate Financing Rules Subcommittee, Committee on Federal Regulation of Securities, Business Law Section, American Bar Association, January 4, 2005 (File name: sia010405.pdf)
     

 

 

 

http://www.sec.gov/rules/sro/nyse/nyse200412.shtml


Modified: 10/16/2014