Comments on NASD Rulemaking

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

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Date Received
Date Letter Type Commenter Name
Public Comment Ralph A. Lambiase, NASAA President and Director, Connecticut Division of Securities, North American Securities Administrators Association, Inc.

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NASD-2004-05
Release Number
34-49081
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