Comments on Proposed Rule: Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934

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Date Received
Date Letter Type Commenter Name
Public Comment Meeting held October 15, 2001 with representatives from the industry and the States regarding the Amendments to the Books and Records Rules
Public Comment Donald R. Brown, Partner, and Rosilyn H. Overton, CFP, Partner, Registered Securities Principal
Public Comment Shomit Ghose
Public Comment Michael J. Di Girolamo, Vice President, Investment Management & Research, Inc.
Public Comment Craig A. Goettsch, Superintendent of Securities, Iowa Securities Bureau
Public Comment David L. Hunter, Deputy State Auditor
Public Comment David S. Pottruck, Charles Schwab & Co., Inc.
Public Comment Douglas H. Myers, President, ManEquity, Inc.
Public Comment Franklin L. Widmann, Chief, Bureau of Securities, New Jersey Bureau of Securities
Public Comment Joseph P. Tuorto, Senior Vice President and Chief Compliance Officer, Raymond James and Associates Inc.
Public Comment Leslie A. Harrison, Senior Corporate Counsel, PNMR Securities, Inc.
Public Comment Lisa Nuss, Acting Chief of Registration and Licensing, State of Oregon
Public Comment Marianne K. Smythe, Wilmer, Cutler and Pickering
Public Comment Maureen W. Sullivan, Counsel to M&T Securities, Inc.
Public Comment Melanie Senter Lubin, Securities Commissioner, Maryland Securities Division, Office of the Attorney General
Public Comment Michael E. Toland, New England Securities
Public Comment Michael J. Anderson, President, Ameritrade (Inc.), Richard H. Neiman, Executive Vice President, Waterhouse Securities, Inc., Denise Benou Stires, Senior Vice President, Discover Brokerage Direct, Inc., et.al.
Public Comment Patricia D. Struck, Administrator, Wisconsin DFI Division of Securities
Public Comment Peter J. Diskin, Director of Securities Registration and Licensing, State of Georgia
Public Comment Robert H. Watts, Senior Vice President & Chief Compliance Officer, John Hancock Mutual Life Insurance Company
Public Comment Roger D. Blanc, Willkie Farr & Gallagher
Public Comment William C. Alsover, President, Centennial Securities Company
Public Comment Clifford Jack, President, National Planning Corporation
Public Comment Edward E. Hill, CLU, Senior Vice President - Compliance, MONY Securities Corporation
Public Comment Joseph Fox, President, Web Street Securities, Inc.
Public Comment Mac Dodson, Commissioner, Arkansas Securities Department
Public Comment Michael L. Michael, Vice President, Chief Compliance Officer, Fidelity Investments
Public Comment Richard S. Cortese, Deputy Commissioner, Vermont Securities Division
Public Comment Victor Rodarte, Acting Director of Securities, Arizona Corporation Commission's Securities Division
Public Comment William J. Verant, Acting Director, New Mexico Securities Division

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-26-98
Release Number
34-40518
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