Comments on NASD Rulemaking

Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, and 3 thereto Relating to the Release of Information Through the Public Disclosure Program

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Date Received
Date Letter Type Commenter Name
Public Comment Patricia D. Struck, President, North American Securities Administrators Association, Inc., Washington, D.C.
Public Comment Richard E. Pullano, Associate Vice President and Chief Counsel, Registration and Disclosure, NASD
Public Comment Eileen O'Connell Arcuri, Executive Committee Member, Association of Registration Management
Public Comment Ira Hammerman, Senior Vice President and General Counsel, Securities Industry Association
Public Comment Patricia D. Struck, NASAA President, Washington, District of Columbia
Public Comment Pamela S. Fritz, Chief Compliance Officer, MWA Financial Services, Inc.
Public Comment Richard E. Pullano, Associate Vice President & Chief Counsel, Registration and Disclosure, NASD
Public Comment Ira Hammerman, Senior Vice President and General Counsel, Securities Industry Association
Public Comment Jill I. Gross, Director of Advocacy and Rosario M. Patane, Student Intern, Pace Investor Rights Project, White Plains, New York
Public Comment Coleman Wortham , III, President and CEO, Davenport & Company LLC, Richmond, Virginia
Public Comment John S. Simmers, CEO, ING Advisors Network
Public Comment Mario Di Trapani, President, Association of Registration Management
Public Comment Ronald C. Long, Senior Vice President, Regulatory Policy and Administration, Wachovia Securities, LLC
Public Comment Joseph D. Fleming, Managing Director and Chief Compliance Officer, Piper Jaffray & Co.
Public Comment Barry S. Augenbraun, Senior VP, Raymond James Financial, St. Petersburg, Florida

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NASD-2003-168
Release Number
34-51915
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