Skip to search field Skip to main content

Official websites use .gov
A .gov website belongs to an official government organization in the United States.

Secure .gov websites use HTTPS
A lock () or https:// means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites.

Comments on NASD Rulemaking

Notice of Proposed Rule Change and Amendment No. 1 thereto Relating to Amendments to Rule 2340 (Customer Account Statements)

Comments have been received from individuals and entities using a variety of Letter Types:


Comment
A: 7

Filter comments


Date Sort descending	Letter Type	Commenter Name
March 11, 2005	Public Comment	Craig Biddick, President, Mission Securities Corporation
March 9, 2005	Public Comment	John Polanin, Jr., Chairman, Securities Industry Association Self Regulation and Supervisory Practices Committee
March 9, 2005	Public Comment	Rosemary J. Shockman, President, Public Investors Arbitration Bar Association
March 8, 2005	Public Comment	Andrew C. Small, General Counsel, Scottrade
March 2, 2005	Public Comment	John Miller, Law Office of John J. Miller, P.C.
Feb. 21, 2005	Public Comment	Geraldine Genco, Broker Dealer, RIA Compliance & Consulting
Feb. 17, 2005	Public Comment	Christopher Charles, President, Wulff Hansen & Co.

Last Reviewed or Updated: Dec. 18, 2025

File Number

SR-NASD-2004-171

Release Number

34-51181

How to submit comments