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

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Date Received
Date Letter Type Commenter Name
Public Comment Jonathan D. Perlow, Software Engineer, San Francisco, California
Public Comment Ari Burstein, Senior Counsel, Investment Company Institute
Public Comment J. Eric Anderson, Canaccord Adams Inc.; E. Michael Serbanos, Raymond James & Associates, Inc.; and Chris Walmsley, RBC Capital Markets Corporation
Public Comment Jack Hollander, Chairman of the Board of Trustees, Investment Program Association
Public Comment Kurt Schacht, Managing Director, and James C. Allen, Senior Policy Analyst, CFA Centre for Financial Market Integrity
Public Comment Michael D. Udoff, Vice President and Associate General Counsel, Securities Industry and Financial Markets Association (SIFMA)
Public Comment Yoon-Young Lee, WilmerHale, Washington, D.C.
Public Comment Donald S. Weiss, Esquire, Bell, Boyd & Lloyd LLP, Chicago, Illinois
Public Comment David A. Hebner, Manager, Business Support Group, Wachovia Securities, LLC
Public Comment Kenneth P. Lisiak, Ph.D., Technology Director, Analog Devices, Andover, Massachusetts
Public Comment Steven P. Tengood, individual investor, Philadelphia, Pennsylvania
Public Comment Alfonso Vivero, Missouri City, Texas
Public Comment Dushan Lipensky, Common invester, Wheaton, Illinois
Public Comment Francis M. Weld, M.D., Assoc. Prof. Clin. Medicine, Columbia University, New York, New York
Public Comment Gary Harpst, CEO, Six Disciplines Corporation
Public Comment James J. Pope, Project manager, telecommunications industry, Brookline, New Hampshire
Public Comment Jonathan Krohn, MD, Chicago, Illinois
Public Comment Marc L. Larose, CFP, Hearst, Canada
Public Comment Ray Lopez
Public Comment Richard E. Mcclure, Sunbright, Tennessee
Public Comment Richard Whitworth, Chairman, CEO, MorSystems, Carmel, California
Public Comment Elliott R. Curzon, Partner, Dechert LLP, Washington, District of Columbia

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NASD-2006-113
Release Number
34-55072
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