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

(34-37850; File No. S7-27-96)

  • Comments of Steven J. Rumchik, Registered Representative/Principal, Cadaret, Grant & Company, Inc., Harris, Minn., April 15, 1997. (File name: rumchik1.txt)

  • Comments of Barry C. Guthary, Director, Securities Division, Office of Secretary, Commonwealth of Massachusetts, March 31, 1997 (File name: guthary.htm)

  • Comments of Herbert F. Janick III, General Counsel, Paine Webber, Inc., March 31, 1997 (File name: janick.htm)

  • Comments of Michael E. Toland, New England Securities, March 31, 1997 (File name: toland.htm)

  • Comments of Paul Saltzman, Senior Vice President, PSA The Bond Market Association, March 31, 1997 (File name: saltzman.htm)

  • Comments of Brian H. Buckley, Secretary & General Counsel, ManEquity, Inc., Toronto, Ontario, Canada, March 31, 1997 (File name: buckley.htm)

  • Comments of George D. Bates, Esq., General Principal, Bates Securities, Inc. Rockford, Illinois, March 31, 1997 (File name: bates.htm)

  • Comments of AAG Securities, March 27, 1997 (File name: aag.htm)

  • Comments of Dale Brown, CAE, Associate Executive Director (File name: dbrown.txt)

  • Comments of James Anderson, Jr., Ass't Secretary of State for Securities, State of Mississippi, March 20, 1997. (File name: andersn1.txt)

  • Comments of Donald J. Reis, Deputy Secretary of State for Securities Regulation, State of Nevada, March 14, 1997. (File name: reis2.txt)

  • Comments of David S. Pottruck, Charles Schwab & Co., Inc., San Francisco, Calif., February 5, 1997. (File name: pottruc1.htm)

  • Comments of Thomas W. Joseph, Principal, Scudder, Stevens & Clark, Inc., Boston, Mass., January 2, 1997. (File name: joseph1.txt)

  • Comments of Kevin Maas, PrimeVest Financial Services, December 30, 1996. (File name: pvestfs.txt)

  • Comments of Marjorie E. Gross, The Chase Manhattan Bank, December 27, 1996. (File name: chasemb.txt)

  • Comments of Kathryn S. Reimann, Senior Vice President, Senior Counsel, Chief Compliance Officer, Lehman Brothers Inc., New York, December 27, 1996. (File name: reimann1.txt)

  • Comments of Paul Saltzman, Senior Vice President and General Counsel, PSA (The Bond Market Trade Association), New York, December 27, 1996. (File name: saltzma2.txt)

  • Comments of Mark Hamby, President & CEO, December 26, 1996. (File name: hamby1.txt)

  • Comments of David T. Bellaire, Esq., Assistant Director of Compliance, Commonwealth Equity Services, Inc., Waltham, Mass., December 26, 1996. (File name: bellair1.txt)

  • Comments of Robert L. Hamman, President, December 24, 1996. (File name: hamman1.txt)

  • Comments of H. Michael Reese, Chief Financial Officer, HBK Investments L.P., Fort Worth, Texas, December 23, 1996. (File name: reese1.txt)

  • Comments of Douglas Colombo, PMK Securites & Research, Inc. December 6, 1996. (File name: colombo1.txt)

Modified: 04/17/97