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Comments on NASD Rulemaking
Notice of Filing of Proposed Rule Changes to Amend NYSE Rules 472 and 344, and NASD Rules 1050 and 2711 Relating to Research Analyst Conflicts of Interest
(Release No. 34-55072; File No. SR-NASD-2006-113)
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Mar. 9, 2007 |
Jonathan D. Perlow, Software Engineer, San Francisco, California |
Mar. 5, 2007 |
Ari Burstein, Senior Counsel, Investment Company Institute |
Mar. 5, 2007 |
J. Eric Anderson, Canaccord Adams Inc.; E. Michael Serbanos, Raymond James & Associates, Inc.; and Chris Walmsley, RBC Capital Markets Corporation |
Mar. 5, 2007 |
Jack Hollander, Chairman of the Board of Trustees, Investment Program Association |
Mar. 5, 2007 |
Kurt Schacht, Managing Director, and James C. Allen, Senior Policy Analyst, CFA Centre for Financial Market Integrity |
Mar. 5, 2007 |
Michael D. Udoff, Vice President and Associate General Counsel, Securities Industry and Financial Markets Association (SIFMA) |
Mar. 2, 2007 |
Yoon-Young Lee, WilmerHale, Washington, D.C. |
Mar. 1, 2007 |
Donald S. Weiss, Esquire, Bell, Boyd & Lloyd LLP, Chicago, Illinois |
Feb. 28, 2007 |
David A. Hebner, Manager, Business Support Group, Wachovia Securities, LLC |
Feb. 27, 2007 |
Kenneth P. Lisiak, Ph.D., Technology Director, Analog Devices, Andover, Massachusetts |
Feb. 25, 2007 |
Steven P. Tengood, individual investor, Philadelphia, Pennsylvania |
Feb. 24, 2007 |
Jonathan Krohn, MD, Chicago, Illinois |
Feb. 24, 2007 |
Richard Whitworth, Chairman, CEO, MorSystems, Carmel, California |
Feb. 24, 2007 |
James J. Pope, Project manager, telecommunications industry, Brookline, New Hampshire |
Feb. 24, 2007 |
Gary Harpst, CEO, Six Disciplines Corporation |
Feb. 24, 2007 |
Alfonso Vivero, Missouri City, Texas |
Feb. 24, 2007 |
Marc L. Larose, CFP, Hearst, Canada |
Feb. 24, 2007 |
Richard E. Mcclure, Sunbright, Tennessee |
Feb. 24, 2007 |
Francis M. Weld, M.D., Assoc. Prof. Clin. Medicine, Columbia University, New York, New York |
Feb. 24, 2007 |
Dushan Lipensky, Common invester, Wheaton, Illinois |
Feb. 24, 2007 |
Ray Lopez |
Feb. 23, 2007 |
Elliott R. Curzon, Partner, Dechert LLP, Washington, District of Columbia |
http://www.sec.gov/comments/sr-nasd-2006-113/nasd2006113.shtml
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