Comments on Proposed Rule Capital Requirements for Brokers or Dealers Under the Securities Exchange Act of 1934

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Date Sort descending	Letter Type	Commenter Name
March 30, 1998	Public Comment	Sean J. Egan, Managing Director, Egan-Jones Ratings Company
March 3, 1998	Public Comment	Sean J. Egan, Managing Director, Egan-Jones Ratings Company
March 2, 1998	Public Comment	Matthew C. Molé, Vice President and General Counsel, Legal Department, Moody's Investors Services, New York, N.Y. Additional Files: mole2.pdf (35.5 KB) mole3.pdf (73.69 KB)
Feb. 28, 1998	Public Comment	Ernest T. Elsner, Executive Vice President and General Counsel, Duff & Phelps Credit Rating Co., Chicago, Ill.

Last Reviewed or Updated: Dec. 18, 2025

File Number

S7-33-97

Release Number

34-39457