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

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Date Received
Date Letter Type Commenter Name
Public Comment Christine A. Bruenn, NASAA President, Maine Securities Administrator, North American Securities Administrators Association, Inc.
Public Comment Michael C. Herndon, Director, Public and Government Affairs, Certified Financial Planner Board of Standards Inc.

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NASD-2003-92
Release Number
34-48093
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