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

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Date Received
Date Letter Type Commenter Name
Public Comment Sharon K. Zackula, Associate Vice President and Associate General Counsel, FINRA
Public Comment Donald E. Merrifield, Senior Vice President Director of Taxable, Fixed Income and Wesley Ringo, Senior Vice President, Chief Compliance Officer
Public Comment M. E. Midkiff, III, President, Midkiff & Stone Capital Group, Inc.
Public Comment Manisha Kimmel, Executive Director, Financial Information Forum on behalf of the FIF Multi-Client Back Office Working Group
Public Comment Richard L. Sandow, Southlake Capital Advisors, Inc., Southlake, Texas

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NASD-2005-100
Release Number
34-56661
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