Comments on NASD Rulemaking

Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Chief Executive Officer and Chief Compliance Officer Certification

(Release No. 34-48981; File No. SR-NASD-2003-176)

• Gregory E. Smith, CFA, President, Sunset Financial Services, Inc., August 24, 2004 (File name: sunset082404.pdf)
   
• Barry S. Augenbraun, Senior Vice President and Corporate Secretary, Raymond James Financial, Inc., August 24, 2004 (File name: raymondjf082404.pdf)
   
• John Polanin, Jr., Chairman, SIA Self-Regulation and Supervisory Practices Committee; and Paul A. Merolla, Executive Vice President, SIA Compliance and Legal Division, Securities Industry Association, August 24, 2004 (File name: sia082404.pdf)
   
• S. Kendrick Dunn, Assistant Vice President, Pacific Select Distributors, Inc., August 24, 2004 (File name: pacificsdi082404.pdf)
   
• Dale E. Brown, CAE, Executive Director & CEO, Financial Services Institute, August 24, 2004 (File name: fsi082404.pdf)
   
• R. Bredt Norwood, General Counsel, NFP Securities, Inc., August 23, 2004 (File name: nfpsi082304.pdf)
   
• Stephen A. Batman, CEO, 1st Global Capital Corp., August 23, 2004 (File name: 1stglobal082304.pdf)
   
• Pamela Fritz, CCO, MWA Financial Services, Inc., August 6, 2004 (File name: mwafs080604.htm)
   
• Laura Singer, Vice President and General Counsel, E*TRADE Brokerage Holdings, Inc., February 11, 2004 (File name: srnasd2003176-4.pdf)
   
• George R. Kramer, Vice President and Acting General Counsel, Securities Industry Association; Paul A. Merolla, Executive Vice President, SIA Compliance and Legal Division; Paul Saltzman, Executive Vice President and General Counsel, The Bond Market Association, February 6, 2004 (File name: siabond020604.pdf)
   
• Herbert A. Pontzer, Senior Vice President/Chief Compliance Officer, National Financial Partners Securities, Inc., February 4, 2004 (File name: srnasd2003176-2.pdf)
   
• Joan Hinchman, NSCP Executive Director, President and CEO, The National Society of Compliance Professionals, Inc., February 5, 2004 (File name: nscp020504.pdf)
   
• Stephen A. Batman, CEO, 1st Global Capital Corp., January 21, 2004 (File name: 1stglobal012104.pdf)
   
• Christiane G. Hyland, Senior Vice President and General Counsel, Empire Corporate FCU, January 21, 2004 (File name: empirecorp012104.pdf)
   

http://www.sec.gov/rules/sro/nasd/nasd2003176.shtml