Comments on NASD Rulemaking

Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Relating to Amendments to Rule 2320(g) (Three Quote Rule) and Corresponding Recordkeeping Requirements under Rule 3110(b)

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Date Received
Date Letter Type Commenter Name
Public Comment Andrea D. Orr, Assistant General Counsel, NASD
Public Comment Bryce Engel, Chief Brokerage Operations Officer, TD AMERITRADE, Inc.
Public Comment Debra V. Moore, Manager - NASDAQ/OTC Equity Trading, and Glenn A. Hoback, Implementation Consultant - Internal Controls, Wachovia Securities, LLC
Public Comment James E. Twiss, Chief Policy Counsel, Market Regulation Services Inc., Toronto, Ontario
Public Comment Christopher D. Climo, Managing Director, Compliance and Chief Compliance Officer, TD Securities Inc., Toronto, Ontario
Public Comment George W. Lennon, President, Canadian Securities Traders Association, Inc., Toronto, Ontario, Canada
Public Comment Rik Parkhill, Executive Vice President, President, TSX Markets, TSX Group Inc.
Public Comment Achilles M. Perry, Associate General Counsel, CIBC World Markets Corp.
Public Comment Bill Yancey, Chairman of the Board and John C. Giesea, President and CEO, Security Trader's Association
Public Comment Grant Vingoe, Esq., Partner, Arnold Porter LLP, New York, New York
Public Comment James Duncan, Senior Vice President & Director, and Andrew Jappy, Chief Information Officer & EVP, Canaccord Capital Corporation

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NASD-2004-130
Release Number
34-54650
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