Comments on NASD Rulemaking

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Changes by the National Association of Securities Dealers, Inc. to Provide an Exemption from the Research Analyst Qualification Examination for Certain Associated Persons Who Prepare Technical Research Reports and the New York Stock Exchange, Inc. Relating to an Alternative Qualification Standard for the Research Analyst Qualification Examination Requirement for Technical Analysts

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Date Received
Date Letter Type Commenter Name
Public Comment Stuart J. Kaswell, Partner, Dechert LLP
Public Comment Gail M. Dudack, CMT, Director of Research; Chief Investment Strategist; Managing Director; SunGard Institutional Brokerage Inc., New York, New York
Public Comment Charles S. Comer, Sr, Port Washingtion, New York

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NASD-2005-022
SR-NYSE-2005-12
Release Number
34-51240
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