Comments on NASD Rulemaking

Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. to Amend the Trading Activity Fee Rate and Add TRACE-Eligible and Municipal Securities as Covered Securities

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Date Received
Date Letter Type Commenter Name
Public Comment George Miller and Lynnette Hotchkiss, The Bond Market Association
Public Comment O. Gene Hurst, Esq, Counsel for Wolfe & Hurst Bond Brokers, Inc.
Public Comment Mary McDermott-Holland, Chairman of the Board and John C. Giesea, President and CEO, Securities Traders Association
Public Comment Robert Wolf, Managing Director, Global Head of Fixed Income, Member of the UBS Group Managing Board; and Ray Ormerod, Executive Director, Fixed Income Compliance, UBS securities LLC
Public Comment The Security Traders Association of New York, Inc.
Public Comment Thomas S. Vales, Chief Executive Officer, TheMuniCenter
Public Comment Craig M. Overlander, Senior Managing Director, Bear, Stearns & Co. Inc.
Public Comment Michael Rafferty. Rafferty Capital Markets, LLC
Public Comment Pamela M. Miller, Senior Vice President, Associated Bond Brokers, Inc.
Public Comment Robert Beck, Principal, Municipal Securities, Edward D. Jones & Co., LP
Public Comment Samuel C. Doyle, Executive Vice President, Kirkpatrick, Pettis, Smith, Polian Inc.
Public Comment The Bond Market Association
Public Comment Richard F. Chapdelaine, Chairman and August J. Hoerrner, President, Chapdelaine & Co.
Public Comment Richard F. Chapdelaine, Chairman and Michael Walsh, President, Chapdelaine Corporate Securities
Public Comment Paige W. Pierce, Chief Operating Officer, The Bond Market Associationm

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NASD-2003-201
Release Number
34-49114
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