Comments on NASD Rulemaking

Notice of Filing of Proposed Rule Change Relating to Proposed Rule 2342 Requiring Members to Provide New Customers, and All Customers Annually, Specific Information About the Securities Investor Protection Corporation ("SIPC")

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Date Received
Date Letter Type Commenter Name
Public Comment Josephine Wang, General Counsel, Securities Investor Protection Corporation
Public Comment Frederick G. Ferrara, CFA, Chief Compliance Officer, Panattoni Securities, Inc.
Public Comment Shirley Weiss, NASD, Washington, District of Columbia
Public Comment Noland Cheng, Chairman, SIFMA Operations Committee
Public Comment Christine E. Saccente, Vice President, Chief Compliance Officer, Operations Manager, Maxwell Noll Inc., Pasadena, California
Public Comment John Harris, Chief Executive Officer, BondMart, Inc., New York, New York
Public Comment William R. Sykes, CFP, President, Sykes Financial Services LLC, Member NASD
Public Comment E. C. Blitz
Public Comment Kenneth M. Cherrier, JD, FLMI, Chief Compliance Officer, Fintegra Financial Solutions
Public Comment Michael A. Pagano, JD, CFCP, CLU, 1st Global Capital Corp., Dallas, Texas
Public Comment Philip C. McMorrow, CFP, President, Cantella Co., Inc., Boston, Massachusetts
Public Comment Frederick G. Ferrara, CFA, Chief Compliance Officer, Panattoni Securities, Inc.

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NASD-2006-124
Release Number
34-54871
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