Comments on NASD Rulemaking

Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change to Expand the Scope of NASD Rule 2440 and Interpretive Material 2440 Relating to Fair Prices and Commissions to Apply to All Securities Transactions

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Date Received
Date Letter Type Commenter Name
Public Comment Stephanie M Dumont, Vice President and Associate General Counsel, NASD, Washington, District of Columbia
Public Comment Mary C. M. Kuan, Vice President and Assistant General Counsel, The Bond Market Association
Public Comment Dan Mayfield, President, Sanderlin Securities

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NASD-2006-005
Release Number
34-53562
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