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 Steven J. Rumchik, Registered Representative/Principal, Cadaret, Grant & Company, Inc., Harris, Minn.
Public Comment Barry C. Guthary, Director, Securities Division, Office of Secretary, Commonwealth of Massachusetts
Public Comment Brian H. Buckley, Secretary & General Counsel, ManEquity, Inc., Toronto, Ontario, Canada
Public Comment George D. Bates, Esq., General Principal, Bates Securities, Inc. Rockford, Illinois
Public Comment Herbert F. Janick III, General Counsel, Paine Webber, Inc.
Public Comment Michael E. Toland, New England Securities
Public Comment Paul Saltzman, Senior Vice President, PSA The Bond Market Association
Public Comment AAG Securities
Public Comment Dale Brown, CAE, Associate Executive Director
Public Comment James Anderson, Jr., Ass't Secretary of State for Securities, State of Mississippi
Public Comment Donald J. Reis, Deputy Secretary of State for Securities Regulation, State of Nevada
Public Comment David S. Pottruck, Charles Schwab & Co., Inc., San Francisco, Calif.
Public Comment Thomas W. Joseph, Principal, Scudder, Stevens & Clark, Inc., Boston, Mass.
Public Comment Kevin Maas, PrimeVest Financial Services
Public Comment Kathryn S. Reimann, Senior Vice President, Senior Counsel, Chief Compliance Officer, Lehman Brothers Inc., New York
Public Comment Marjorie E. Gross, The Chase Manhattan Bank
Public Comment Paul Saltzman, Senior Vice President and General Counsel, PSA (The Bond Market Trade Association), New York
Public Comment David T. Bellaire, Esq., Assistant Director of Compliance, Commonwealth Equity Services, Inc., Waltham, Mass.
Public Comment Mark Hamby, President & CEO
Public Comment Robert L. Hamman, President
Public Comment H. Michael Reese, Chief Financial Officer, HBK Investments L.P., Fort Worth, Texas
Public Comment Douglas Colombo, PMK Securites & Research, Inc.

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-27-96
Release Number
34-37850
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