Comments on NASD Rulemaking

Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Include Failures to Submit Timely Amendments to Form U5 in Minor Rule Violation Plan

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Date Received
Date Letter Type Commenter Name
Public Comment Lyle Roberts and H. Hubert Yang, Wilson Sonsini Goodrich & Rosati
Public Comment David A. Donohoe, Jr., President, Donohoe Advisory Associates LLC, Rockville, Maryland

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NASD-2004-125
Release Number
34-50065
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