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Comments on NASD Rulemaking

Notice of Filing of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Proposed Amendments to NASD's Telemarketing Rules to Require Members to Participate in the National Do-Not-Call Registry

(Release No. 34-48390; File No. SR-NASD-2003-131)

  • Comments of Kevin S. Thompson, Vice President, Deputy General Counsel, CUNA Brokerage Services, Inc., April 22, 2004 (File name: cuna042204.pdf)
  • Comments of Richard M. Whiting, Executive Director and General Counsel, The Financial Services Roundtable , September 25, 2003 (File name: fsr092503.pdf)
  • Comments of Carl B. Wilkerson, The American Council of Life Insurers, September 17, 2003 (File name: acli091703.pdf)
  • Comments of Ted F. Angus, VP and Senior Corporate Counsel for Retail Brokerage, Charles Schwab & Co., Inc., September 17, 2003 (File name: schwab091703.pdf)
  • Comments of James Y. Chin, AVP, Director and Counsel, State Government Affairs & Staff Advisor to the SIA State Telemarketin Subcommittee, The State Regulation and Legislation Committee of the Securities Industry Association, September 17, 2003 (File name: sia091703.pdf)

Modified: 04/08/2004