Comments on NASD Rulemaking

Notice of Filing of Proposed Rule Change Creating NASD Rule 1160 (Firm Contact Information) Regarding the Reporting and Annual Review of Designated Contact Information to NASD

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Date Received
Date Letter Type Commenter Name
Public Comment Patricia Albrecht, Assistant General Counsel, FINRA, Washington, District of Columbia
Public Comment Kenneth M. Cherrier, JD, Chief Compliance Officer, Fintegra Financial Solutions, Minneapolis, Minnesota
Public Comment Lisa Roth, Members Advocacy Chairwoman of the NAIBD

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NASD-2007-034
Release Number
34-55810
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