Comments on NASD Rulemaking

Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Disclosure and Consent Requirements when Trading on a Net Basis with Customers

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Date Received
Date Letter Type Commenter Name
Public Comment Amal Aly, Vice President and Associate General Counsel and Ann Vlcek, Vice President and Associate General Counsel, Securities Industry Association
Public Comment Klindt Ginsberg, Managing Director, The Seidler Companies Inc.
Public Comment David Sieradzki

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NASD-2004-135
Release Number
34-51457
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