Comments on NASD Rulemaking

Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASD Rule 3013 and Accompanying Interpretive Material 3013

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Date Received
Date Letter Type Commenter Name
Public Comment Evan J. Charkes, Citigroup Global Markets Inc.
Public Comment Michelle Bryan Oroschakoff, Managing Director, and Jill W. Ostergaard, Managing Director, Morgan Stanley & Co., Inc.

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NASD-2007-049
Release Number
34-56285
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