Skip to search field Skip to main content

Official websites use .gov
A .gov website belongs to an official government organization in the United States.

Secure .gov websites use HTTPS
A lock () or https:// means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites.

Comments on Proposed RuleReports to Be Made by Certain Brokers and Dealers

Filter comments


Date Sort descending	Letter Type	Commenter Name
Aug. 7, 1998	Public Comment	Jennifer K. Aracri, Vice President, Asset Management Securities Corp.
Aug. 6, 1998	Public Comment	Adam B. Cohen, Sr. Vice President, Avalon Research Group Inc.
Aug. 6, 1998	Public Comment	E. Steven zum Tobel, CFO, Online Trading Inc.
April 27, 1998	Public Comment	Kathryn V. Natale, Credit Suisse First Boston Corporation (CSFB)
April 24, 1998	Public Comment	Donald D. Kittell, Executive Vice President, The Securities Industry Association (SIA)
April 20, 1998	Public Comment	Michael J. Castellano, Merrill Lynch
April 16, 1998	Public Comment	W. Hardy Callcott, Vice President and Deputy General Counsel, Charles Schwab & Co., Inc.
April 15, 1998	Public Comment	Janet L. McWilliams, Chicago, Illinois
April 13, 1998	Public Comment	Howard Spindel, Managing Director, Integrated Management Solutions
April 3, 1998	Public Comment	an anonymous reviewer

Last Reviewed or Updated: Dec. 18, 2025

File Number

S7-7-98

Release Number

34-39724

How to submit comments