Comments on NASD Rulemaking

Notice of Filing of Proposed Rule Change Relating to Amendments to NASD Rule 3011 and the Adoption of New Related Interpretive Material

Filter comments


Date Sort descending	Letter Type	Commenter Name
Dec. 15, 2005	Public Comment	Brant K. Brown Counsel, National Association of Securities Dealers, Inc.
July 27, 2005	Public Comment	Alan E. Sorcher, Vice President and Associate General Counsel, Securities Industry Association
July 20, 2005	Public Comment	John J. Lynch, Jr., Executive Vice President; Hartfield, Titus, & Donnelly, LLC
June 9, 2005	Public Comment	Marianne Czernin, Senior VP, Director, Broker/Dealer Client Services, National Regulatory Services

Last Reviewed or Updated: Dec. 18, 2025

File Number

SR-NASD-2005-066

Release Number

34-51935