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Comments on NASD Rulemaking

Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Adopt NASD Rule 2370 To Govern Certain Lending Arrangements Between Registered Persons and Customers

[Release No. 34-48093; File No. SR-NASD-2003-92]

  • Christine A. Bruenn, NASAA President, Maine Securities Administrator, North American Securities Administrators Association, Inc., July 23, 2003 (File name: srnasd200392-1.pdf)
  • Michael C. Herndon, Director, Public and Government Affairs, Certified Financial Planner Board of Standards Inc., July 23, 2003 (File name: cfpbsi072303.pdf)

Modified: 06/10/2004