Comments on NASD Rulemaking

Notice of Filing of Proposed Rule Change and Amendment No. 1 thereto Relating to Proposed Uniform Branch Office Registration Form ("Form BR") and Amendments to the Uniform Application for Securities Industry Registration or Transfer ("Form U4") and the Uniform Termination Notice for Securities Industry Registration ("Form U5")

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Date Received
Date Letter Type Commenter Name
Public Comment Shirley H. Weiss, Associate General Counsel, NASD
Public Comment Franklin L. Widmann, President and Chief, New Jersey Bureau of Securities
Public Comment Carl B. Wilkerson, Vice President and Chief Counsel, Securities and Litigation, American Council of Life Insurers
Public Comment Michael Pagano, Dallas, Texas
Public Comment Robert S. Rosenthal, Vice President and Chief Legal Officer, MML Investors Services, Inc.
Public Comment Sandra T. Masek Ray, CRCP, Rhodes Securities, Inc. - Exec Vice Pres/Chief Compliance Officer, Fort Worth, Texas
Public Comment Mario DiTrapani, President, Association of Registration Management

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NASD-2005-030
Release Number
34-51746
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