Comments on Proposed Rule: Operational Capability Requirements of Registered Broker-Dealers and Transfer Agents and Year 2000 Compliance

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Date Received
Date Letter Type Commenter Name
Public Comment Greg Smith
Public Comment anonymous
Public Comment Dale W. Way, Chairman, IEEE, Technical Activities Board, Year 2000 Technical Information Focus Group
Public Comment William Langenwalter, Virginia Beach, Va.
Public Comment Kevin P. Biber, President, Greentree Investment Services, Inc.
Public Comment Jules Moskowitz, Vice President and Counsel, DST Systems, Inc.
Public Comment David J. Campbell, Senior Vice President, Pershing Division of Donaldson, Lufkin & Jenrette Securities Corp.
Public Comment Dick Lam, President & CEO, Lam Securities Investment, Inc.
Public Comment Howard Spindel, Managing Director
Public Comment Jon L. Mosle, General Counsel,HBK Finance L.P. and HBK Securities Ltd.
Public Comment Lee B. Spencer, Jr., Chairman, Federal Regulation Committee, Securities Industry Association, et al.
Public Comment Mary Jo Rump, Y2K Project Manager, Securities America, Inc.
Public Comment Richard W. Hunt, CEO of Network 1 Financial Securities, Inc.
Public Comment Roderick R. Scribner, President, Gramercy Securities, Inc.
Public Comment Dan McEwan
Public Comment J. Patrick Calby
Public Comment Paul Henning
Public Comment Jack Rubens, President, Monroe Securities Inc.
Public Comment John C Downing, H M Payson & Co.
Public Comment Scott L. Fagin, Chief Compliance Officer,The Jeffrey Matthews Financial Group, LLC
Public Comment Dan Jamieson, Huntington Beach, Calif.
Public Comment Daniel H. Kolber, General Counsel, Intellivest Securities, Inc.
Public Comment Donald W. Gendron, Principal, Goffstown Financial Investments.
Public Comment Thomas J. Lonergan, President, US Particpations, Ltd..

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-8-99
Release Number
34-41142
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