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Comments on NYSE 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 Sort descending	Letter Type	Commenter Name
March 17, 2007	Public Comment	Keith F. Higgins, Chair, Committee on Federal Regulation of Securities, American Bar Association
March 5, 2007	Public Comment	Ari Burstein, Senior Counsel, Investment Company Institute
March 5, 2007	Public Comment	J. Eric Anderson, Canaccord Adams Inc.; E. Michael Serbanos, Raymond James & Associates, Inc.; and Chris Walmsley, RBC Capital Markets Corporation
March 5, 2007	Public Comment	Kurt Schacht, Managing Director, and James C. Allen, Senior Policy Analyst, CFA Centre for Financial Market Integrity
March 5, 2007	Public Comment	Michael D. Udoff, Vice President and Associate General Counsel, Securities Industry and Financial Markets Association (SIFMA)
March 2, 2007	Public Comment	Yoon-Young Lee, WilmerHale, Washington, D.C.
Feb. 28, 2007	Public Comment	David A. Hebner, Manager, Business Support Group, Wachovia Securities, LLC

Last Reviewed or Updated: Dec. 18, 2025

File Number

SR-NYSE-2006-78

Release Number

34-55072

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