Comments on Proposed Rule:
Concept Release Concerning Self-Regulation

[Release No. 34-50700; File No. S7-40-04]

• Rebecca T. McEnally, Director, Capital Markets Policy Group, and Linda L. Rittenhouse, Senior Policy Analyst, Capital Markets Policy Group, CFA Centre for Financial Market Integrity, July 14, 2006(File name: s74004-41.pdf)
   
• Gene L. Finn, Ph.D., January 36, 2006 (File name: s74004-40.pdf)
   
• Kelly S McEntire, Retired State of Utah Administrator, Huntsville, Utah, December 8, 2005 (File name: ksmcentire5915.htm)
   
• Les Greenberg, April 26, 2005 (File name: lgreenberg042605.pdf)
   
• Robert R. Glauber, Chairman and CEO, NASD, March 15, 2005 (File name: rrglauber031505.pdf)
   
• Jeffrey T. Brown, Senior Vice President, Office of Legislative and Regulatory Affairs, Charles Schwab & Co., Inc., March 9, 2005 (File name: jtbrown030905.pdf)
   
• Lisa Roth, President, Keystone Capital Corporation, March 9, 2005 (File name: lroth030905.pdf)
   
• Meyer S. Frucher, Chairman and Chief Executive Officer, Philadelphia Stock Exchange, Inc., March 9, 2005 (File name: msfrucher030905.pdf)
   
• Marc E. Lackritz, President, Securities Industry Association, March 9, 2005 (File name: melackritz030905.pdf)
   
• Philip D. DeFeo, Chairman and Chief Executive Officer, Pacific Exchange, March 8, 2005 (File name: s74004-14.pdf)
   
• Francis J. Ingrassia, Chairman, Municipal Securities Rulemaking Board and Christopher A. Taylor, Executive Director, Municipal Securities Rulemaking Board, March 8, 2005 (File name: s74004-12.pdf)
   
• Dale E. Brown, CAE, Executive Director & CEO, Financial Services Institute, March 8, 2005 (File name: debrown030805a.pdf)
   
• Katherine Simmons, Chairman, Intermarket Surveillance Group, March 8, 2005 (File name: ksimmons030805.pdf)
   
• David C. Whitcomb Jr., Senior Vice President & Chief Regulatory Officer and Ellen J. Neely, Senior Vice President & General Counsel, Chicago Stock Exchange, March 8, 2005 (File name: whitcomb030805.pdf)
   
• Archipelago Exchange, Boston Stock Exchange, Chicago Stock Exchange, International Securities Exchange, Nasdaq Stock Market, and Philadelphia Stock Exchange, March 8, 2005 (File name: various030805.pdf)
   
• Tom O'Keefe, National Association of Investment Professionals, March 8, 2005 (File name: tokeefe030805.pdf)
   
• Ann Yerger, Executive Director, Council of Institutional Investors, March 8, 2005 (File name: ayerger030805.pdf)
   
• Kim Bang, Bloomberg L.P., March 8, 2005 (File name: kbang030805.pdf)
   
• Craig S. Donohue, Chief Executive Officer, Chicago Mercantile Exchange Inc., March 8, 2005 (File name: scdonohue030805.pdf)
   
• Ari Burstein, Associate Counsel, Investment Company Institute, March 8, 2005 (File name: aburstein030805.pdf)
   
• Tom Atkinson, President & CEO, Market Regulation Services Inc., March 8, 2005 (File name: tatkinson030805.pdf)
   
• Marjorie Gross, Senior Vice President and Regulatory Counsel, Bond Market Association, March 8, 2005 (File name: mgross030805.pdf)
   
• Neal Wolkoff, Acting Chief Executive Officer, American Stock Exchange, March 8, 2005 (File name: nwolkoff030805.pdf)
   
• Jack Ehnes, Chief Executive Officer, California State Teachers' Retirement System, March 8, 2005 (File name: jehnes030805.pdf)
   
• Mary Yeager, Assistant Corporate Secretary, New York Stock Exchange, March 8, 2005 (File name: myeager030805.pdf)
   
• Phylis M. Esposito, Executive Vice President and Chief Strategy Officer, Ameritrade, Inc., March 8, 2005 (File name: pmesposito030804.pdf)
   
• Laurie Fiori Hacking, Executive Director, Ohio Public Employees Retirement System, March 8, 2005 (File name: lfhacking030804.pdf)
   
• William J. Brodsky, Chairman and Chief Executive Officer, Chicago Board Options Exchange, Incorporated, March 8, 2005 (File name: wjbrodsky030804.pdf)
   
• Michael J. Simon, Secretary, International Securities Exchange, Inc., March 8, 2005 (File name: mjsimon030804.pdf)
   
• Anthony K. Stankiewicz, Esq., Vice President, Legal and Governance, Boston Stock Exchange, Inc., March 8, 2005 (File name: akstankiewicz030804a.pdf)
   
• Edward S. Knight, Executive Vice President and General Counsel, Nasdaq Stock Market, Inc., March 8, 2005 (File name: esknight030804.pdf)
   
• John K. Romano, International Open Finance Association Inc., Miami, Florida, March 8, 2005 (File name: jkromano8089.htm)
   
• End the Fraud Coalition, March 4, 2005 (File name: efc030405.pdf)
   
• W. Hardy Callcott, March 2, 2004 (File name: whcallcott030205.pdf)
   
• Gene L. Finn, Finn Associates, February 20, 2005 (File name: glfinn022005.pdf)
   
• Raymond H. Gambel, Retired state examiner/Adjunct contract faculty, Metairie, Louisiana, February 9, 2005 (File name: rhgambel9999.htm)
   
• Ralph S. Saul, February 7, 2005 (File name: s74004-5.pdf)
   
• Jayda Dagdelen, Senior Task Force Commissioner and Mara Tchalakov, Senior Task Force Commissioner, Princeton University, January 14, 2005 (File name: stfc011405.pdf)
   
• Ted Moore, December 27, 2004 (File name: tmoore1180.htm)
   
• Memorandum from the Division of Market Regulation regarding a meeting with representatives of the National Association of Securities Dealers, Inc., December 21, 2004 (File name: 122104amemo.pdf)
   
• Kenneth J. Marcus, Los Angeles, California, December 14, 2004 (File name: kjmarcus6964.htm)
   

http://www.sec.gov/rules/concept/s74004.shtml