Comments on NASD Rulemaking

Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Interpretive Material to NASD Rule 3060 to Require Members to Adopt Policies and Procedures Addressing Business Entertainment

Comments have been received from individuals and entities using a variety of Letter Types:

Comment
A: 14

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Date Received
Date Letter Type Commenter Name
Public Comment John Ramsay, Managing Director, Citigroup Global Markets Inc.
Public Comment Thomas Conway, Royal Alliance Associates
Public Comment Scott C. Kursman, Senior Vice President, Lehman Brothers Inc.
Public Comment Dale E. Brown, CAE, President & CEO, Financial Services Institute, Inc.
Public Comment Jill Gross, Directory of Advocacy and Jay Yamamoto, Student Intern, Pace Investor Rights Project
Public Comment Milissa M. Brennan, Compliance Supervisor, Great American Advisors
Public Comment Paul J. Tolley, Chief Compliance Officer, Commonwealth Financial Network, Waltham, Massachusetts
Public Comment Sarah A. Miller, General Counsel, ABA Securities Association
Public Comment Board of Directors, National Association of Independent Broker-Dealers
Public Comment Douglas G. Preston, Senior Vice President, Head of Regulatory Affairs, Bank of America Corporation, New York, New York
Public Comment Ira D. Hammerman, Senior Managing Director and General Counsel, Securities Industry and Financial Markets Association
Public Comment Jane G. Heinrichs, Associate Counsel, Investment Company Institute
Public Comment Michael Pagano, JD, CFCP, CLU, Dallas, Texas
Public Comment Darrell N. Braman, Vice President and Associate Legal Counsel, John R. Gilner, Vice President and Chief Compliance Officer of the Price Funds, Henry H. Hopkins, Vice President and Chief Legal Counsel, and Sarah McCafferty, Vice President and Chief Compliance Officer, T. Rowe Price Investment Services,Inc.
Public Comment John C. Melton, Sr., Coastal Securities, Houston, Texas
Public Comment Judith Schapiro, MBA, New Jersey
Public Comment Amal Aly, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an April 8, 2008, meeting with representatives of Securities and Industry and Financial Markets Association
Public Comment Lynnette K. Hotchkiss, Senior Vice President and Associate General Counsel, The Bond Market

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NASD-2006-044
Release Number
34-55765
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