Comments on NASD Rulemaking

Notice of Filing of Proposed Rule Change to Adopt an Additional Mark-Up Policy for Transactions in Debt Securities Except Municipal Securities

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Date Received
Date Letter Type Commenter Name
Public Comment Sharon K. Zackula, Associate General Counsel, NASD, Washington, D.C.
Public Comment Edward F. Greene, General Counsel, Corporate and Investment Banking, Citigroup Global Markets Inc.
Public Comment Robyn A. Huffman, Managing Director, Associate General Counsel, Goldman, Sachs & Co.
Public Comment Robbin Conner, Vice President and Assistant General Counsel, Securities Industry and Financial Markets Association
Public Comment Mary C.M. Kuan, Vice President and Assistant General Counsel, Securities Industry and Financial Markets Association
Meeting with SEC Officials Memorandum from the Office of the Chief Counsel regarding a October 20, 2005 meeting with representatives of J.P. Morgan Chase, UBS Investment Bank, and the Bond Market Association
Public Comment Sharon K. Zackula, Associate General Counsel, NASD
Public Comment Debbie Cunningham, Federated Investors, Chair, ASF Investor Committee and Bianca Russo, J.P. Morgan Securities Inc., Chair, ASF Regulatory Subcommittee; American Securitization Forum
Public Comment John R. Gidman and David L. Murphy, The Asset Managers Forum
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a May 10, 2005 meeting with representatives of The Bond Market Association
Public Comment Edward F. Greene, General Counsel, Corporate and Investment Banking, Citigroup Global Markets Inc.
Public Comment William C. Caccamise, General Counsel & Managing Director, Banc of America Securities LLC, New York, New York
Public Comment Michele C. David, Vice President and Assistant General Counsel, The Bond Market Association
Public Comment Paul Scheurer

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NASD-2003-141
Release Number
34-51338
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