Comments on NASD Rulemaking

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 thereto by the National Association of Securities Dealers, Inc. Relating to Proposed New Uniform Definition of "Branch Office" under NASD Rule 3010(g)(2)

(Release No. 34-48897; File No. SR-NASD-2003-104)

• Comments have been received from individuals and entities using a variety of Letter Types:
  1. 756 individuals or entities using Letter Type A (File name: nasd2003104typea.htm)
  2. 45 individuals or entities using Letter Type B (File name: nasd2003104typeb.htm)

• Carl B. Wilkerson, Vice President and Chief Counsel - Securities & Litigation, American Council of Life Insurers, October 5, 2004 (File name: acli100504.pdf)
• Barbara Z. Sweeney, Senior Vice President and Corporate Secretary, The National Association of Securities Dealers, Inc., June 29, 2004 (File name: srnasd2003104-53.pdf)

• Carl Lundgren, received March 30, 2004 (File name: srnasd2003104-51.pdf)

• Charles Ehlert, Rural Insurance Companies received February 12, 2004 (File name: srnasd2003104-48.pdf)

• Raymond Howen, Rural Insurance Companies received February 11, 2004 (File name: srnasd2003104-45.pdf)

• Jim Jacobsen, State Farm received Februay 9, 2004 (File name: srnasd2003104-34.pdf)

• Minoo Spellerberg, Compliance Director, Princor Financial Services Corporation, February 6, 2004 (File name: princor020604.htm)

• Lawrence J. Fowler, Jr., CLU, LUTCF, Agent, February 2, 2004 (File name: srnasd2003104-32.pdf)

• David Niederbaumer, CLU, ChFC, Financial Associate and Matt Niederbaumer, Financial Associate, January 30, 2004 (File name: srnasd2003104-33.pdf)

• Gary A. Sanders, National Association of Insurance and Financial Advisors, January 29, 2004 (File name: naifa012904.htm)

• Gene Imke, January 30, 2004 (File name: gimke013004.txt)

• Michael Leahy, President, NYLIE Securities Inc., January 29, 2004 (File name: nyliesec012904.htm)

• Al Villasenor, Unisure Insurance Services Inc. and Villasenor Insurance Associates, January 28, 2004 (File name: srnasd2003104-44.pdf)

• Jeffrey K. Hoelzel,, MTL Equity Products, Inc., January 28, 2004 (File name: srnasd2003104-31.pdf)

• Bob Geis, CLU Registered Representative, AXA Network, January 28, 2004 (File name: srnasd2003104-35.pdf)

• George Nelson Ridings, ChFC CLU, January 27, 2003 (File name: gnridings012704.txt)

• Peter J. Mersberger, Mersberger Financial Group, Inc., January 27, 2004 (File name: srnasd2003104-39.pdf)

• Sherri Branson, Agent, State Farm Insurance Companies, January 26, 2004 (File name: srnasd2003104-37.pdf)

• Gerald J. O’Bee, CLU, ChFC, CLTC, Insurance and Financial Services, MassMutual Financial Group, January 26, 2004 (File name: srnasd2003104-38.pdf)

• Arthur K. Gruber, CLU, Registered Representative, AXA Advisors, LLC, January 23, 2004 (File name: srnasd2003104-36.pdf)

• John R. Claborn of John R. Claborn & Associates, January 21,2004 (File name: srnasd2003104-50.pdf)

• Clark Hall, January 21, 2004 (File name: chall012104.txt)

• Walter Olshanski, January 21, 2004 (File name: wolshanski012104.txt)

• Walter Scott, January 21, 2004 (File name: wscott012104.txt)

• Karen R. Hammond, ChFC, The Hammond Agency, Inc., January 21, 2004 (File name: srnasd2003104-5.pdf)

• Michael Lisle, Mutual of Omaho Insurance Company, January 21, 2004 (File name: srnasd2003104-7.pdf)

• Joan M. Halstead, CLU, REBC, ChCF, Chartered Financial Consultant, Halstead Financial Associates, January 21, 2004 (File name: srnasd2003104-8.pdf)

• Roy D. Vega, Vega Insurance & Financial Services, January 21, 2004 (File name: srnasd2003104-9.pdf)

• Edwin P. Morrow, CLU, ChFC, CFP, RFC, President and CEO, International Assoication of Registered Financial Consultants, Inc., January 21, 2004 (File name: srnasd2003104-10.pdf)

• Connie Walenta, January 21, 2004 (File name: cwalenta012104.txt)

• Charles Barley, January 21, 2004 (File name: cbarley012104.txt)

• Rod Bieber, January 21, 2004 (File name: rbieber012104.txt)

• Mike Becher, January 21, 2004 (File name: mbecher012104.txt)

• Kathy Northrop, January 20, 2004 (File name: knorthrop012004.txt)

• Michael Garcia, January 20, 2004 (File name: mgarcia012004.txt)

• Richard A. Gurdjian, January 20, 200 (File name: ragurdjian012004.txt)

• Leonard M. Bakal, Vice President and Compliance Director, Metropolitan Life Insurance Company, January 14, 2004 (File name: metropol011404.htm)

• Minnie Whitmire, Registrations Supervisor, Raymond James & Associates, Inc., January 12, 2004 (File name: raymondjames011204.txt)

• John Polanin, Jr., Chairman, Self-Regulation and Supervisory Practices Committee, Securities Industry Association, January 9, 2004 (File name: sia010904.htm)

• Christopher Shaw, Vice President & Acting Chief Compliance Officer, Transamerica Financial Advisors, Inc., January 6, 2004 (File name: transamerica010604.htm)

• Ralph A. Lambiase, NASAA President and Director, Connecticut Division of Securities, North American Securities Administrators Association, Inc., January 6, 2004 (File name: nasaa010604.htm)

• Thomas R. Moriarty, President, InterSecurities, Inc., January 6, 2004 (File name: intersecurities010604.htm)

• Mario DiTrapani, President, Association of Registration Management, January 6, 2004 (File name: arm010604.htm)

• Stephen A. Batman, CEO, 1st Global Inc., January 5, 2004 (File name: srnasd2003104-4.pdf)

• John Gilner, Vice President; Henry H. Hopkins, Vice President; Sarah McCafferty, Vice President, T. Rowe Price Investment Services, Inc., January 5, 2004 (File name: srnasd2003104-3.pdf)

• Paul B. Uhlenhop, Lawrence, Kamin, Saunders & Uhlenhop, L.L.C., December 21, 2003 (File name: lawrence123103.htm)

• Carl B. Wilkerson, Chief Counsel, Securities & Litigation, American Council of Life Insurers, December 23, 2003 (File name: srnasd2003104-2.pdf)

http://www.sec.gov/rules/sro/nasd2003104.shtml