Comments on NASD Rulemaking

Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 Thereto to Amend NASD's Minor Rule Violation Plan

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Date Received
Date Letter Type Commenter Name
Public Comment Scott Lynn Fagin, CCO/CFO, The Jeffrey Matthews Financial Group, LLC
Public Comment Joseph W. Mays, Jr., President, Securities Consulting Group, Inc.

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NASD-2004-025
Release Number
34-51994
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