Comments on NASD Rulemaking

Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Chief Executive Officer and Chief Compliance Officer Certification

Filter comments

Date Received
Date Letter Type Commenter Name
Public Comment Barry S. Augenbraun, Senior Vice President and Corporate Secretary, Raymond James Financial, Inc.
Public Comment Dale E. Brown, CAE, Executive Director & CEO, Financial Services Institute
Public Comment Gregory E. Smith, CFA, President, Sunset Financial Services, Inc.
Public Comment John Polanin, Jr., Chairman, SIA Self-Regulation and Supervisory Practices Committee; and Paul A. Merolla, Executive Vice President, SIA Compliance and Legal Division, Securities Industry Association
Public Comment S. Kendrick Dunn, Assistant Vice President, Pacific Select Distributors, Inc.
Public Comment R. Bredt Norwood, General Counsel, NFP Securities, Inc.
Public Comment Stephen A. Batman, CEO, 1st Global Capital Corp.
Public Comment Pamela Fritz, CCO, MWA Financial Services, Inc.
Public Comment Laura Singer, Vice President and General Counsel, E*TRADE Brokerage Holdings, Inc.
Public Comment George R. Kramer, Vice President and Acting General Counsel, Securities Industry Association; Paul A. Merolla, Executive Vice President, SIA Compliance and Legal Division; Paul Saltzman, Executive Vice President and General Counsel, The Bond Market Association
Public Comment Joan Hinchman, NSCP Executive Director, President and CEO, The National Society of Compliance Professionals, Inc.
Public Comment Herbert A. Pontzer, Senior Vice President/Chief Compliance Officer, National Financial Partners Securities, Inc.
Public Comment Christiane G. Hyland, Senior Vice President and General Counsel, Empire Corporate FCU
Public Comment Stephen A. Batman, CEO, 1st Global Capital Corp.

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NASD-2003-176
Release Number
34-48981
How to submit comments