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Comments on NASD Rulemaking

Notice of Filing of Proposed Rule Change Relating to the Corporate Financing Rule and Shelf Offerings of Securities

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Date Sort descending	Letter Type	Commenter Name
March 2, 2005	Public Comment	David Hopkins, Head of the Royal Bank of Scotland Financial Markets Legal, Capital Markets
Feb. 14, 2005	Public Comment	Marianne McKeon, attorney, Dewey Ballantine LLP, New York, New York
Feb. 3, 2005	Public Comment	Dixie L. Johnson, Chair, Committee on Federal Regulation of Securities, Business Law Section, American Bar Association
Feb. 3, 2005	Public Comment	Martin M. Cohen, Executive Director, Law Division-Company Group; John H. Faulkner, Managing Director, Law Division-Securities Group, Morgan Stanley
Feb. 1, 2005	Public Comment	John Faulkner, Chair, SIA Capital Markets Committee, Securities Industry Association
Jan. 28, 2005	Public Comment	Michael J. Holliday, Chair of the Committee on Securities Regulation, Business Law Section, New York State Bar Association
Jan. 21, 2005	Public Comment	Mark T. Lab, Simpson Thacher & Bartlett LLP
Jan. 21, 2005	Public Comment	Michele C. David, Vice President and Assistant General Counsel
Jan. 21, 2005	Public Comment	Michele C. David, Vice President and Assistant General Counsel, The Bond Market Association
Dec. 20, 2004	Public Comment	Don Herzog, New York, New York
Dec. 20, 2004	Public Comment	Joseph Smith, Feldman Weinstein, LLP, New York, New York
Dec. 13, 2004	Public Comment	Kriecer & Pracer, LLP
Dec. 8, 2004	Public Comment	Joseph Canouse, Atlanta, Georgia

Last Reviewed or Updated: Dec. 18, 2025

File Number

SR-NASD-2004-022

Release Number

34-50749

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