Comments on NASD Rulemaking

Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, 3, and 4 Thereto to Amend NASD Arbitration Rules for Customer Disputes

(Release No. 34-51856; File No. SR-NASD-2003-158)

• Comments have been received from individuals and entities using a variety of Letter Types:

• Letter Type A:	15
• Letter Type B:	3

• Linda D.Feinberg, President, Dispute Resolution, NASD, November 9, 2006 (File name: nasd2003158-167.pdf)
   
• Scot D. Bernstein, Esq. and C. Thomas Mason III, Esq., October 20, 2006 (File name: nasd2003158-166.pdf)
   
• NASD Response to Comments, August 15, 2006 (File name: nasd2003158-169.pdf)
   
• Bryan Lantagne, Director, Massachusetts Securities Division, Chair, NASAA Broker-Dealer Arbitration Project Group, July 19, 2006 (File name: nasd2003158-165.pdf)
   
• Jill Gross and Barbara Black, Directors, Pace Investor Rights Project, June 6, 2006 (File name: nasd2003158-163.pdf)
   
• Angela H. Magary, Brickley, Sears & Sorett, Boston, Massachusetts, May 31, 2006 (File name: ahmagary053106.htm)
   
• Ronald M. Amato, Shaheen, Novoselsky, Staat, Filipowski & Eccleston, P.C., Chicago, Illinois, May 30, 2006 (File name: rmamato053006.htm)
   
• David E. Robbins, Kaufmann, Feiner, Yamin, Gildin & Robbins LLP, New York, New York, May 29, 2006 (File name: derobbins052906.pdf)
   
• Robert S. Banks, Jr., President, Public Investors Arbitration Bar Association, Portland, Oregon, May 26, 2006 (File name: rsbanks5938.pdf)
   
• Scot Bernstein, Law Offices of Scot Bernstein, Mather Field, California, May 26, 2006 (File name: sbernstein052606.pdf)
   
• Charles C. Hunter, Esq., Woska & Hayes, LLP, May 23, 2006 (File name: nasd2003158-156.htm)
   
• Jeff Sonn, May 22, 2006 (File name: nasd2003158-155.htm)
   
• Thomas F. Burke, May 22, 2006 (File name: nasd2003158-154.htm)
   
• Allan J. Fedor, Esq., Seminole, Florida, May 22, 2006 (File name: ajfedor052206.pdf)
   
• Kurt Arbuckle, Kurt Arbuckle, P.C., Houston, Texas, May 22, 2006 (File name: karbuckle052206.htm)
   
• Eric Hewko, North Palm Beach, Florida, May 20, 2006 (File name: ehewko052006.htm)
   
• Robert C. Port, Esq., Cohen Goldstein Port & Gottlieb, LLP, Atlanta, Georgia, May 20, 2006 (File name: rcport052006.htm)
   
• John G. Appel, Jr., May 18, 2006 (File name: nasd2003158-145.htm)
   
• William B. Young, Jr., Attorney, Hooper Weiss, LLC, Orlando, Florida, May 18, 2006 (File name: byoung4353.htm)
   
• Donald A.W. Smith, Esq., Rochester, New York, May 17, 2006 (File name: dawsmith051706.htm)
   
• Scott Silver, Esq., Blum & Silver, LLP, Coral Springs, Florida, May 17, 2006 (File name: ssilver051706.htm)
   
• Patrick A. Davis, P.A, Clearwater, Florida, May 16, 2006 (File name: padavis051606.pdf)
   
• Eliot Goldstein, Esq., Law Offices of Eliot Goldstein LLP, Cabin John, Maryland, May 16, 2006 (File name: egoldstein5500.pdf)
   
• Rosemary J. Shockman, Shockman Law Office, Scottsdale, Arizona, May 16, 2006 (File name: rjshockman051606.pdf)
   
• Teresa M. Gillis, Esq., Shustak & Partners, May 16, 2006 (File name: tgillis051606.pdf)
   
• Robert W. Anthony, Attorney at Law, Orlando, Florida, May 16, 2006 (File name: rwanthony051606.htm)
   
• Erwin Cohn, Cohn & Cohn, Chicago, Illinois, May 16, 2006 (File name: ecohn051606.htm)
   
• Daniel I. MacIntyre, Esquire, Shapiro Fussell, Atlanta, Georgia, May 16, 2006 (File name: dimacintyre051606.htm)
   
• Jeffrey B. Kaplan, Attorney, Shareholder, Dimond Kaplan Rothstein, P.A., Miami, Florida, May 16, 2006 (File name: jbkaplan8517.htm)
   
• Barry D. Estell, Esquire, Attorney at Law, Mission, Kansas, May 16, 2006 (File name: bdestell9898.htm)
   
• J. Pat Sadler, May 16, 2006 (File name: psadler051606.htm)
   
• Steven B. Caruso, President-Elect, Public Investors Arbitration Bar Association, New York, New York, May 16, 2006 (File name: sbcaruso1537.pdf)
   
• Kirk Reasonover, Esq., Smith & Fawer, L.L.C., New Orleans, Louisiana, May 16, 2006 (File name: kreasonover051606.htm)
   
• Stephen David Murakami, Esq., Hooper & Weiss, LLC, New York, New York, May 16, 2006 (File name: sdmurakami051606.htm)
   
• Bruce E. Baldinger, Levine & Baldinger, LLC, Bridgewater, New Jersey, May 16, 2006 (File name: bebaldinger051606.htm)
   
• Jeremy B. Chalmers, Mars, Mars and Chalmers, Philadelphia, Mississippi, May 16, 2006 (File name: jbchalmers051606.htm)
   
• Philip M. Aidikoff, Aidikoff ,Uhl & Bakhtiari, Beverly Hills, California, May 16, 2006 (File name: pmaidikoff051606.htm)
   
• Susan N. Perkins, North Miami Beach, Florida, May 16, 2006 (File name: snperkins051606.htm)
   
• Thomas Quarles, Jr., Esquire, Devine, Millimet & Branch, P.A., May 16, 2006 (File name: tquarles051606.htm)
   
• James J. Eccleston, Shaheen, Novoselsky, Staat, Filipowski & Eccleston, Chicago, Illinois, May 16, 2006 (File name: jjeccleston051606.htm)
   
• Richard Elliott, Attorney at Law, Fredericksburg, Texas, May 16, 2006 (File name: relliott051606.htm)
   
• Tracy Pride Stoneman, Tracy Pride Stoneman, P.C., Westcliffe, Colorado, May 16, 2006 (File name: tpstoneman051606.htm)
   
• Steven M. McCauley, Esq., Charles C. Mihalek, P.S.C, Lexington, Kentucky, May 16, 2006 (File name: smmccauley051606.htm)
   
• Michael B. Lynch, Esq., Law Offices of James Richard Hooper, PA, Orlando, Florida, May 16, 2006 (File name: mblynch051606.htm)
   
• Boyd Page, Page Perry LLC, Atlanta, Georgia, May 16, 2006 (File name: bpage051606.pdf)
   
• Robert K. Savage, Esq., The Savage Law Firm, P.A., Tampa, Florida, May 16, 2006 (File name: rksavage051606.htm)
   
• Mitchell Ostwald, Law Office of Mitchell Ostwald, Sacramento, California, May 16, 2006 (File name: mostwald051606.htm)
   
• Adam Doner, May 16, 2006 (File name: adoner051606.htm)
   
• Sam Brannan, Page Perry LLC, Atlanta, Georgia, May 16, 2006 (File name: sbrannan051606.htm)
   
• Jenice L. Malecki, Esq., Malecki Law, New York, New York, May 16, 2006 (File name: jlmalecki051606.pdf)
   
• Stephen P. Meyer Esquire, Meyer & Ford, Charleston, West Virginia, May 16, 2006 (File name: spmeyer051606.htm)
   
• Steve Parker, Page Perry, LLC, Atlanta Georgia, May 16, 2006 (File name: sparker051606.htm)
   
• Ben Stewart, May 16, 2006 (File name: bstewart051606.htm)
   
• Adam T. Rabin, Esq., Dimond Kaplan & Rothstein, P.A, West Palm Beach, Florida, May 16, 2006 (File name: rtrabin051606.htm)
   
• Elizabeth Zeck, Esquire, Willoughby & Hoefer, P.A., Columbia, South Carolina , May 16, 2006 (File name: ezeck051606.htm)
   
• David P. Meyer, Esq., Principal, David P. Meyer Associates, Co. LPA, Columbus, Ohio, May 16, 2006 (File name: dpmeyer6222.htm)
   
• Royal Lea, Bingham & Lea, P.C., San Antonio, Texas , May 16, 2006 (File name: rlea051606.htm)
   
• James D. Keeney, Attorney at Law, Sarasota, Florida, May 15, 2006 (File name: jdkeeney051506.pdf)
   
• John S. Burke, Higgins & Burke, P.C, St. Charles, Illinois, May 15, 2006 (File name: jsburke051506.htm)
   
• Joseph C. Korsak, Esquire, Law Office of Joseph C. Korsak, York, Pennsylvania, May 15, 2006 (File name: jckorsak051506.pdf)
   
• Steve Buchwalter, Law Offices of Steve A. Buchwalter, P.C, Encino, California, May 15, 2006 (File name: sabuchwalter051506.htm)
   
• James A. Sigler, Granada Hills, California, May 15, 2006 (File name: jasigler051506.htm)
   
• Brian M. Greenman, Esq., Scarsdale, New York, May 15, 2006 (File name: bmgreenman051506.htm)
   
• T. Michael Kennedy, Irving, Texas, May 15, 2006 (File name: tmkennedy051506.htm)
   
• Jan Graham, Graham Law Offices, Salt Lake City, Utah, May 15, 2006 (File name: jgraham051506.htm)
   
• Anonymous, May 15, 2006 (File name: anon051506.htm)
   
• Martin Seiler, Attorney at Law, Memphis, Tennessee, May 15, 2006 (File name: mseiler051506.htm)
   
• Dale Ledbetter, Adorno & Yoss, Fort Lauderdale, Florida, May 15, 2006 (File name: dledbetter051506.htm)
   
• Mark A. Tepper, Mark A. Tepper P.A., Fort Lauderdale, Florida, May 15, 2006 (File name: matepper051506.htm)
   
• Todd Young, May 15, 2006 (File name: tyoung051506.htm)
   
• Stuart Meissner, Esq., The Law Offices of Stuart D. Meissner LLC., New York, New York, May 15, 2006 (File name: smeissner051506.htm)
   
• Al Van Kampen, Rohde & Van Kampen PLLC, Seattle, Washington, May 15, 2006 (File name: avankampen051506.htm)
   
• Herb Pounds, Herbert E. Pounds, Jr., P.C, San Antonio, Texas, May 15, 2006 (File name: hpounds051506.htm)
   
• Michael J. Willner, Esquire, Miller Faucher and Cafferty LLP, Philadelphia, Pennsylvania, May 15, 2006 (File name: mjwillner051506.htm)
   
• Steven Sherman, Law Offices of Steven M. Sherman, San Francisco, California, May 15, 2006 (File name: ssherman051506.htm)
   
• Jorge A. Lopez, Esquire, Jorge A. Lopez, P.A., Coral Gables, Florida, May 15, 2006 (File name: jalopez051506.htm)
   
• Randall R. Heiner, Heiner Law Offices, Salt Lake City, Utah, May 15, 2006 (File name: rrheiner051506.htm)
   
• Scott C. Ilgenfritz, Tampa, Florida, May 15, 2006 (File name: scilgenfritz051506.htm)
   
• William F. Davis, Los Angeles, California, May 15, 2006 (File name: wfdavis051506.htm)
   
• Roger F. Claxton, Claxton & Hill, Dallas, Texas, May 15, 2006 (File name: rfclaxton051506.htm)
   
• James V. Weixel, Jr., Weixel Law Office, Novato, California, May 15, 2006 (File name: jvweixel051506.htm)
   
• Brian N. Smiley, Gard Smiley & Bishop LLP, Atlanta, Georgia, May 15, 2006 (File name: bsmiley051506b.pdf)
   
• Brian N. Smiley, Gard Smiley & Bishop LLP, Atlanta, Georgia, May 15, 2006 (File name: bsmiley051506.pdf)
   
• Tim Canning, May 15, 2006 (File name: tcanning051506.htm)
   
• Scott I. Batterman, Esq., Clay Chapman Crumpton Iwamura & Pulice, Honolulu, Hawaii, May 15, 2006 (File name: sibatterman051506.htm)
   
• Thomas D. Mauriello, Law Offices of Thomas D. Mauriello, San Francisco, California, May 15, 2006 (File name: tdmauriello051506.htm)
   
• Robert H. Rex, Esq., Dickenson Murphy Rex & Sloan, Boca Raton, Florida, May 15, 2006 (File name: rhrex051506.pdf)
   
• Emerson R. Marks, Jr., Emerson R. Marks, Jr., P.L.C., Charlottesville, Virginia, May 15, 2006 (File name: ermarks051506.htm)
   
• Scott R. Shewan, Born, Pape & Shewan LLP, Clovis, California, May 15, 2006 (File name: srshewan051506.htm)
   
• Prof. Seth E. Lipner, Zicklin School of Business, Member / Deutsch & Lipner, May 15, 2006 (File name: selipner051506.pdf)
   
• William P. Torngren, Sacramento, California, May 15, 2006 (File name: wptrongren051506.htm)
   
• Jay H. Salamon, Hermann Cahn & Schneider LLP, Cleveland, Ohio, May 15, 2006 (File name: jhsalamon051506.htm)
   
• Gail E. Boliver, Boliver Law Firm, Marshalltown, Iowa, May 15, 2006 (File name: gebolivar051506.htm)
   
• Rob Bleecher, Esquire, Harrisburg, Pennsylvania, May 15, 2006 (File name: rbleecher051506.htm)
   
• Martin L. Feinberg, May 15, 2006 (File name: mlfeinberg051506.htm)
   
• John Miller, Law Office of John J. Miller, P.C., Kansas City, Missouri, May 15, 2006 (File name: jjmiller051506.htm)
   
• Barry D. Estell, Mission, Kansas, May 15, 2006 (File name: bdestell051506.htm)
   
• Brian P. Biggins, Esq., Brian P. Biggins & Associates Co., L.P.A., Rocky River, Ohio, May 15, 2006 (File name: bpbiggins051506.htm)
   
• Robert W. Goehring, Esquire, Pittsburgh, Pennsylvania, May 15, 2006 (File name: rwgoehring051506.htm)
   
• Jonathan W. Evans, Esq., Jonathan W. Evans & Associates, Studio City, California, May 15, 2006 (File name: jwevans051506.htm)
   
• Henry I. Pass, Esquire, The Law Offices of Henry Ian Pass, Bala Cynwyd, Pennsylvania, May 15, 2006 (File name: hipass051506.htm)
   
• Wayne M. Josel, Kaufmann, Feiner, Yamin, Gildin & Robbins, LLP, May 15, 2006 (File name: wmjosel051506.htm)
   
• Daniel E. Bacine, Barrack, Rodos & Bacine, Philadelphia, Pennsylvania, May 15, 2006(File name: debacine051506.htm)
   
• W. Scott Greco, Greco & Greco, P.C., McLean, Virginia, May 15, 2006 (File name: wsgreco051506.htm)
   
• C. David Mee, Esq., Ajamie LLP, Houston, Texas, May 15, 2006 (File name: cdmee051506.htm)
   
• Sarah G. Anderson, May 15, 2006 (File name: sganderson051506.htm)
   
• Joseph C. Peiffer, Correro Fishman Haygood Phelps, New Orleans, Louisiana, May 15, 2006 (File name: jcpeiffer051506.htm)
   
• C.W. Austin, Jr., May 15, 2006 (File name: cwaustin051506.htm)
   
• Richard M. Layne, Layne & Lewis LLP, Portland, Oregon, May 13, 2006 (File name: rmlayne051306.htm)
   
• Carl J. Carlson, Carlson & Dennett, P.S., Seattle, Washington, May 12, 2006 (File name: cjcarlson051206.pdf)
   
• A. Daniel Woska, Esquire, Woska & Hayes, LLP, Oklahoma City, Oklahoma, May 12, 2006 (File name: adwoska051206.htm)
   
• NASD Response to Comments, May 4, 2006 (File name: nasd2003158-168.pdf)
   
• James S. Jones, Esq., March 30, 2006 (File name: srnasd2003158-52.pdf)
   
• Rosemary J. Shockman, President, Public Investors Arbitration Bar Association, August 2, 2005 (File name: srnasd2003158-49.pdf)
   
• Richard P. Ryder, President, Securities Arbitration Commentator, Inc., July 21, 2005 (File name: rpryder072105.pdf)
   
• Jorge A. Lopez, July 21, 2005 (File name: jalopez072105.pdf)
   
• Michael J. Willner, Miller Faucher and Cafferty LLP, Philadelphia, Pennsylvania, July 16, 2005 (File name: mjwillner071605.htm)
   
• Stuart Finer, Esq., July 15, 2005 (File name: sfiner071505.htm)
   
• Steele T. Williams, P.A. July 15, 2005 (File name: srnasd2003158-23.pdf)
   
• Daniel A. Ball, Selzer Gurvitch Rabin & Obecny, Chtd., Bethesda, Maryland, July 14, 2005 (File name: daball071405.pdf)
   
• Richard A. Karoly, Vice President and Senior Corporate Counsel, Charles Schwab & Co., Inc., San Francisco, CA, July 14, 2005 (File name: charlesschwab071405.pdf)
   
• James J. Eccleston, Shaheen, Novoselsky, Staat, Filiposki & Sccleston, Chicago, IL, July 14, 2005 (File name: jjeccleston071405.pdf)
   
• Andrew Stoltmann, Stoltmann Law Offices, P.C., Chicago, IL, July 14, 2005 (File name: astoltmann071405.pdf)
   
• Laurence S. Schultz, Driggers, Schultz & Herbst, Troy, MI, July 14, 2005 (File name: dsh071405.pdf)
   
• Debra G. Speyer, Esq., Law Offices of Debra G. Speyer, Philadelphia, PA, July 14, 2005 (File name: dgspeyer071405.htm)
   
• Scott R. Shewan, Born, Pape & Shewan LLP, Clovis, CA, July 14, 2005 (File name: srshewan071405.htm)
   
• Jonathan W. Evans, Esq., Jonathan W. Evans & Associates, Studio City, CA, July 14, 2005 (File name: jwevans071405.htm)
   
• Cary S. Lapidus, Law Offices of Cary S. Lapidus, San Francisco, CA, July 14, 2005 (File name: cslapidus071405.htm)
   
• Jeff Sonn, Esq., Sonn & Erez, Ft. Lauderdale, FA, July 14, 2005 (File name: jsonn071405.htm)
   
• Scott C. Ilgenfritz, Tampa, FL, July 14, 2005 (File name: scilgenfritz071405.htm)
   
• J. Boyd Page and Samuel T. Brannan, Page Perry, LLC, July 14, 2005 (File name: pageperry071405.htm)
   
• Stephen Krosschell, Goodman & Nekvasil, P.A., Clearwater, FL, July 14, 2005 (File name: skrosschell071405.htm)
   
• Arnold Y. Steinberg, P.C., Attorney and Counselor at Law, Investors' Rights, Inc., Pittsburgh, PA, July 14, 2005 (File name: aysteinberg071405.htm)
   
• Dale Ledbetter, Adorno & Yoss, Fort Lauderdale, FL, July 14, 2005 (File name: dledbetter071405.htm)
   
• Spiro T. Komninos, Esquire, Attorney, Komninos, Fowkes & Farrugia Law Group, LLC, Tampa, Florida, July 14, 2005 (File name: stkomninos1767.htm)
   
• Tim Canning, Law Offices of Timothy A. Canning, Arcata, California, July 14, 2005 (File name: tcanning4572.htm)
   
• Barry D. Estell, Esq., Attorney At Law, Mission, Kansas, July 14, 2005 (File name: bdestell7235.pdf)
   
• Howard M. Rosenfield, Attorney, Farmington, Connecticut, July 14, 2005 (File name: hmrosenfield2937.htm)
   
• Rebecca Davis, Esquire, Member of Tate, Lazarini & Beall, PLC, July 14, 2005 (File name: rdavis6778.pdf)
   
• Clay Ragsdale, Attorney, Birmingham, Alabama, July 14, 2005 (File name: cragsdale8859.pdf)
   
• Angela H. Magary, Brickley, Sears & Sorett, Boston, Massachusetts, July 14, 2005 (File name: ahmagary5360.htm)
   
• John E. Sutherland, Brickley, Sears & Sorett, Boston, Massachusetts, July 14, 2005 (File name: jesutherland071405.pdf)
   
• Jill I. Gross and Barbara Black, Directors of Advocacy, Pace Investor Rights Project, White Plains, New York, July 14, 2005 (File name: jigross5988.pdf)
   
• Jill I. Gross and Barbara Black, Directors of Advocacy, Pace Investor Rights Project, White Plains, New York, July 14, 2005 (File name: jigross5988.pdf)
   
• Royal Lea, Bingham & Lea, P.C., San Antonio, Texas, July 14, 2005 (File name: rlea071405.htm)
   
• Mark A. Tepper, P.A., Fort Lauderdale, Florida, July 14, 2005 (File name: matepper071405.pdf)
   
• J. Pat Sadler, July 13, 2005 (File name: jpsadler071305.htm)
   
• Martin L. Feinberg, Attorney at Law, July 13, 2005 (File name: mlfeinberg071305.pdf)
   
• Wayne M. Josel; Kaufmann, Feiner, Yamin, Gilden, ∓a Robbins; July 13, 2005 (File name: wmjosel071305.htm)
   
• Gail E. Boliver, J.D., Marshalltown, Iowa, July 13, 2005 (File name: geboliver9648.htm)
   
• Seth E. Lipner, Deutsch & Lipner, Garden City, New York, July 13, 2005 (File name: selipner071305.htm)
   
• William A. Fynes, July 13, 2005 (File name: wafynes071305.htm)
   
• Edward G. Turan, Chair, Arbitration and Litigation Committee, Securities Industry Association, July 13, 2005 (File name: sia071305.pdf)
   
• Steven B. Caruso, Esq., Maddox Hargett ∓a Caruso, P.C., New York, New York, July 13, 2005 (File name: sbcaruso1784.htm)
   
• Rosemary J. Shockman, President, and Robert S. Banks, Jr., Vice President, President-Elect; PIABA; July 13, 2005 (File name: piaba071205.pdf)
   
• Stuart D. Meissner, Esq., July 12, 2005 (File name: sdmeissner071205.htm)
   
• John J. Miller, Law Office of John J. Miller, P.C., Kansas City, Missouri, July 12, 2005 (File name: jjmiller8304.htm)
   
• Richard M. Layne, Attorney, Portland, Oregon, July 12, 2005 (File name: rmlayne7478.pdf)
   
• Jeffrey A. Feldman, Attorney, San Francisco, California, July 11, 2005 (File name: jafeldman071105.htm)
   
• Steven A. Stolle, Rohde & Van Kampen PLLC, July 8, 2005 (File name: sastolle070805.pdf)
   
• W. Scott Greco, Greco and Greco, P.C., McLean, Virginia, June 24, 2005 (File name: wsgreco062405.htm)
   
• A. Daniel Woska, Woska & Hayes, LLP, Oklahoma City, Oklahoma, June 15, 2005 (File name: adwoska061505.pdf)
   
• Laurence S. Schultz; Driggers, Schultz & Herbst; Troy, Michigan, June 8, 2005 (File name: lsschultz060805.pdf)
   
• Norman B. Arnoff, August 12, 2004 (File name: srnasd2003158-1.pdf)
   

http://www.sec.gov/rules/sro/nasd/nasd2003158.shtml