Comments on NASD Rulemaking

Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Time Limits for Submission of Claims in Arbitration

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Date Received
Date Letter Type Commenter Name
Public Comment Charles C. Mihalek
Public Comment Stephen G. Sneeringer, Senior Vice President & Counsel, A.G. Edwards & Sons, Inc.
Public Comment William S. Shepherd, Founder of the Firm, Shepherd, Smith & Edwards, L.L.P.
Public Comment James D. Keeney
Public Comment Herbert E. Pounds, Jr.
Public Comment Charles Schwab & Co., Inc.
Public Comment Stephen G. Sneeringer Senior Vice President and Counsel, A.G. Edwards & Sons, Inc.
Public Comment J. Pat Sadler, President, Public Investors Arbitration Bar Association
Public Comment James D. Kenney, P.A.

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NASD-2003-101
Release Number
34-48225
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