Comments on NASD Rulemaking

Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, 3, and 4 Thereto to Amend NASD Arbitration Rules for Customer Disputes

Comments have been received from individuals and entities using a variety of Letter Types:

Comment
A: 15
B: 3

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Date Received
Date Letter Type Commenter Name
Public Comment Robert H. Rex, Esq., Dickenson Murphy Rex & Sloan, Boca Raton, Florida
Public Comment Robert W. Goehring, Esquire, Pittsburgh, Pennsylvania
Public Comment Roger F. Claxton, Claxton & Hill, Dallas, Texas
Public Comment Sarah G. Anderson
Public Comment Scott C. Ilgenfritz, Tampa, Florida
Public Comment Scott I. Batterman, Esq., Clay Chapman Crumpton Iwamura & Pulice, Honolulu, Hawaii
Public Comment Scott R. Shewan, Born, Pape & Shewan LLP, Clovis, California
Public Comment Steve Buchwalter, Law Offices of Steve A. Buchwalter, P.C, Encino, California
Public Comment Steven Sherman, Law Offices of Steven M. Sherman, San Francisco, California
Public Comment Stuart Meissner, Esq., The Law Offices of Stuart D. Meissner LLC., New York, New York
Public Comment T. Michael Kennedy, Irving, Texas
Public Comment Thomas D. Mauriello, Law Offices of Thomas D. Mauriello, San Francisco, California
Public Comment Tim Canning
Public Comment Todd Young
Public Comment W. Scott Greco, Greco & Greco, P.C., McLean, Virginia
Public Comment Wayne M. Josel, Kaufmann, Feiner, Yamin, Gildin & Robbins, LLP
Public Comment William F. Davis, Los Angeles, California
Public Comment William P. Torngren, Sacramento, California
Public Comment Richard M. Layne, Layne & Lewis LLP, Portland, Oregon
Public Comment A. Daniel Woska, Esquire, Woska & Hayes, LLP, Oklahoma City, Oklahoma
Public Comment Carl J. Carlson, Carlson & Dennett, P.S., Seattle, Washington
Public Comment NASD Response to Comments
Public Comment James S. Jones, Esq.
Public Comment Rosemary J. Shockman, President, Public Investors Arbitration Bar Association
Public Comment Jorge A. Lopez
Public Comment Richard P. Ryder, President, Securities Arbitration Commentator, Inc.
Public Comment Michael J. Willner, Miller Faucher and Cafferty LLP, Philadelphia, Pennsylvania
Public Comment Steele T. Williams, P.A.
Public Comment Stuart Finer, Esq.
Public Comment Andrew Stoltmann, Stoltmann Law Offices, P.C., Chicago, IL

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NASD-2003-158
Release Number
34-51856
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