Comments on NASD Rulemaking

Notice of Filing of Proposed Rule Change to Amend the By-Laws of NASD to Implement Governance and Related Changes to Accommodate the Consolidation of the Member Firm Regulatory Functions of NASD and NYSE Regulation, Inc.

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Office of General Counsel and the Division of Trading and Markets regarding an April 29, 2008 conference call with representatives of FINRA
Public Comment Jack D. Jester
Public Comment Jonathan W. Cuneo, Cuneo Gilbert & Laduca, LLP and Richard D. Greenfield, Greenfield & Goodman LLC
Public Comment Mario J. Verdolini, Jr., Davis Polk & Wardwell
Public Comment T. Grant Callery, Executive Vice President and General Counsel, NASD
Public Comment William J. Haubert, Richards, Layton & Finger
Public Comment Jonathan W. Cuneo, Esq. and Richard D. Greenfield, Esq., Esquire, on behalf of Benchmark Financial Services, Inc.
Public Comment Jack D. Jester
Public Comment Linda D. Fienberg, President, Dispute Resolution, NASD, Washington, D.C.
Public Comment Patrice M. Gliniecki, Senior Vice President and Deputy General Counsel, NASD, Washington, D.C.
Public Comment Jonathan W. Cuneo, Esq. and Richard D. Greenfield, Esq., Esquire, on behalf of Benchmark Financial Services, Inc.
Public Comment Joan Hinchman, Executive Director, President and CEO, National Society of Compliance Professionals
Public Comment Michael J. Mungenast, Chief Executive Officer and President, ProEquities, Inc.
Public Comment William F. Galvin, Secretary of the Commonwealth, Commonwealth of Massachusetts
Public Comment Joseph P. Borg, Esq., NASAA President and Director, Alabama Securities Commission
Public Comment Albert Kramer, President, Kramer Securities Corporation, Miami, Florida
Public Comment Bonnie K. Wachtel, Small Firm Owner
Public Comment Charlie Cray, Director, Center for Corporate Policy
Public Comment Dale E. Brown, CAE, Executive Director & CEO, Financial Services Institute
Public Comment David Isolano, CEO, Max International Broker Dealer Corp.
Public Comment David W. Stringer, President, Prospera Financial Services, Inc.
Public Comment Deborah Castiglioni, CEO, Cutter & Company, Inc.
Public Comment Donald R, Penrod, President, Penrod and Company
Public Comment Howard Spindel, Senior Managing Director, Integrated Management Solutions
Public Comment Ira D. Hammerman, Senior Managing Director and General Counsel, Securities Industry and Financial Markets Association
Public Comment Johnny Q Member
Public Comment Johnny Q Member
Public Comment Kathryn L. Lundgren, Highland Park, Illinois
Public Comment Lisa Roth, Chairman, National Association of Independent Broker-Dealers
Public Comment M. LaRae Bakerink, CEO, WBB Securities, LLC

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NASD-2007-023
Release Number
34-55495
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