Comments on NASD Rulemaking

Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto, to Provide Written Explanations in Arbitration Awards Upon the Request of Customers, or of Associated Persons in Industry Controversies

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Date Received
Date Letter Type Commenter Name
Public Comment Franklin L. Widmann, NASAA President and Chief, New Jersey Bureau of Securities, Washington, District of Columbia
Public Comment William F. Galvin, Secretary of the Commonwealth, Massachusetts Securities Division
Public Comment Richard P. Ryder, President, Securities Arbitration Commentator, Inc.
Public Comment Gregory M. Scanlon, Vice President & Associate General Counsel, Charles Schwab & Co., Inc.
Public Comment Jack M. Marden, Esq.
Public Comment Kevin T. Hoffman, Esq., Lawyer, Greenwich, Connecticut
Public Comment Rebecca C. Davis, Esq., Member, Tate, Lazarini & Beall, PLC
Public Comment Richard K. Skora, Hoboken, New Jersey
Public Comment Ronald C. Long, Senior Vice President, Regulatory Policy and Administration, Wachovia Securities, LLC
Public Comment Vernon W. Johnson, III, Jackson & Campbell, P.C., Washington, District of Columbia
Public Comment Barbara Black, Director, Pace Investor Rights Project, Pace University School of Law, White Plains, New York
Public Comment Raymond W. Henney and Michael P. Hindelang, Honigman Miller Schwartz and Cohn LLP
Public Comment Rodney J. Heggy, Esq., Oklahoma City, Oklahoma
Public Comment Richard K. Skora, Hoboken, New Jersey
Public Comment Barry S. Augenbraun, Senior VP, Raymond James Financial, St. Petersburg, Florida
Public Comment Edward G. Turan, Securities Industry Association Litigation and Arbitration Committee
Public Comment Les Greenberg, Esquire, Culver City, California
Public Comment Frank M.Campis
Public Comment Harold L. Kramer
Public Comment Jerry Anderson
Public Comment K. Michael Weaver
Public Comment P. Darrell McKown, Jr.
Public Comment Richard Fairfield
Public Comment Stephen G. Sneeringer, Senior Vice President & Counsel, A.G. Edwards & Sons, Inc.
Public Comment Vincent J. Cole
Public Comment Alan S. Carmel, Esquire, President, M & A International, Inc., Stevenson, Maryland
Public Comment William M. Rishoi, Esquire, Snyderburn, Rishoi & Swann
Public Comment David Plimpton, Plimpton & Esposito, Cape Elizabeth, Maine
Public Comment Avery B. Goodman, Attorney at Law, Fort Collins, Colorado
Public Comment James T. Pearce, Arbitrator NASD - NYSE, Jacksonville, Florida

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NASD-2005-032
Release Number
34-52009
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