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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

(Release No. 34-55765; File No. SR-NASD-2006-044)

Comments have been received from individuals and entities using the following Letter Type A: 14
Apr. 18, 2007 Amal Aly, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association
Apr. 8, 2007 Memorandum from the Division of Trading and Markets regarding an April 8, 2008, meeting with representatives of Securities and Industry and Financial Markets Association
Sep. 20, 2007 John Ramsay, Managing Director, Citigroup Global Markets Inc.
Jun. 22, 2007 Thomas Conway, Royal Alliance Associates
Jun. 15, 2007 Scott C. Kursman, Senior Vice President, Lehman Brothers Inc.
Jun. 12, 2007 Paul J. Tolley, Chief Compliance Officer, Commonwealth Financial Network, Waltham, Massachusetts
Jun. 12, 2007 Sarah A. Miller, General Counsel, ABA Securities Association
Jun. 12, 2007 Dale E. Brown, CAE, President & CEO, Financial Services Institute, Inc.
Jun. 12, 2007 Milissa M. Brennan, Compliance Supervisor, Great American Advisors
Jun. 12, 2007 Jill Gross, Directory of Advocacy and Jay Yamamoto, Student Intern, Pace Investor Rights Project
Jun. 11, 2007 Ira D. Hammerman, Senior Managing Director and General Counsel, Securities Industry and Financial Markets Association
Jun. 11, 2007 Board of Directors, National Association of Independent Broker-Dealers
Jun. 11, 2007 Douglas G. Preston, Senior Vice President, Head of Regulatory Affairs, Bank of America Corporation, New York, New York
Jun. 11, 2007 Jane G. Heinrichs, Associate Counsel, Investment Company Institute
Jun. 11, 2007 Michael Pagano, JD, CFCP, CLU, Dallas, Texas
Jun. 8, 2007 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.
Jun. 1, 2007 John C. Melton, Sr., Coastal Securities, Houston, Texas
May 17, 2007 Judith Schapiro, MBA, New Jersey
Jul. 17, 2006 Lynnette K. Hotchkiss, Senior Vice President and Associate General Counsel, The Bond Market

Modified: 05/07/2008