Comments on NASD Rulemaking

Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Establishment of an Annual Branch Office System Processing Fee and the Waiver of the Annual Branch Office System Processing Fee and the Annual Branch Office Registration Fee For One Branch Office Per Member Per Year

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Date Received
Date Letter Type Commenter Name
Public Comment Carl B. Wilkerson, Vice President & Chief Counsel, Securities & Litigation, ACLI

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NASD-2006-065
Release Number
34-53955
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