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Comments on NASD Rulemaking
Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, 3, and 4 Thereto, To Require Members To Provide Customers in TRACE-Eligible Debt Securities with Additional, Transaction-Specific Disclosures and To Notify Customers of the Availability of a Disclosure Document
(Release No. 34-56661; File No. SR-NASD-2005-100)
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Sep. 5, 2008 |
Sharon K. Zackula, Associate Vice President and Associate General Counsel, FINRA |
Dec. 3, 2007 |
Donald E. Merrifield, Senior Vice President
Director of Taxable, Fixed Income and Wesley Ringo, Senior Vice President, Chief Compliance Officer |
Dec. 3, 2007 |
Manisha Kimmel, Executive Director, Financial Information Forum on behalf of the FIF Multi-Client Back Office Working Group |
Dec. 3, 2007 |
M. E. Midkiff, III, President, Midkiff & Stone Capital Group, Inc. |
Nov. 28, 2007 |
Richard L. Sandow, Southlake Capital Advisors, Inc., Southlake, Texas |
http://www.sec.gov/comments/sr-nasd-2005-100/nasd2005100.shtml
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