Comments on NASD Rulemaking
Notice of Filing of Proposed Rule Change and Amendment No. 1 thereto Relating to Proposed Uniform Branch Office Registration Form ("Form BR") and Amendments to the Uniform Application for Securities Industry Registration or Transfer ("Form U4") and the Uniform Termination Notice for Securities Industry Registration ("Form U5")
(Release No. 34-51746; File No. SR-NASD-2005-030)
- Shirley H. Weiss, Associate General Counsel, NASD, August 17, 2005 (File name: shweiss081705.pdf)
- Franklin L. Widmann, President and Chief, New Jersey Bureau of Securities, July 12, 2005 (File name: flwidmann071205.pdf)
- Robert S. Rosenthal, Vice President and Chief Legal Officer, MML Investors Services, Inc., June 23, 2005 (File name: rsrosenthal062305.pdf)
- Carl B. Wilkerson, Vice President and Chief Counsel, Securities and Litigation, American Council of Life Insurers, June 23, 2005 (File name: acli062305.pdf)
- Sandra T. Masek Ray, CRCP, Rhodes Securities, Inc. - Exec Vice Pres/Chief Compliance Officer, Fort Worth, Texas, June 23, 2005 (File name: stmasekray1316.htm)
- Michael Pagano, Dallas, Texas, June 23, 2005 (File name: mpagano6378.htm)
- Mario DiTrapani, President, Association of Registration Management, June 22, 2005 (File name: mditrapani062205.pdf)
http://www.sec.gov/rules/sro/nasd/nasd2005030.shtml