Comments on NASD Rulemaking

Notice of Filing of Proposed Rule Change to Provide for a 10-Day Notice Requirement Before a Party Issues a Subpoena to a Non-Party for Pre-Hearing Discovery

Filter comments

Date Received
Date Letter Type Commenter Name
Public Comment Martin L. Feinberg, Esq.
Public Comment Steven B. Caruso, President, Public Investors Arbitration Bar Association
Public Comment Seth E. Lipner, Prof. of Law, Zicklin School of Business Member, Deutsch Lipner, Garden City, New York
Public Comment NASD Response to Comments
Public Comment Alan S. Brodherson, New York, New York
Public Comment Jim Parker, Johnson, Rial & Parker, P.C., Austin, Texas
Public Comment Robert S. Banks, Jr., President, Public Investors Arbitration Bar Association, Portland, Oregon
Public Comment Ryan P. Smith, Esq., Vice President, Attorney, Wachovia Securities, LLC, Richmond, Virginia
Public Comment Laurence S. Schultz, Driggers Schultz and Herbst, Troy, Michigan
Public Comment Carl J. Carlson, Carlson & Dennett, P.S, Seattle, Washington
Public Comment Herbert E. Pounds, Jr., Esquire, San Antonio, Texas
Public Comment Jay Salamon, Cleveland, Ohio
Public Comment John Miller, Kansas City, Missouri
Public Comment Joseph C. Korsak, Esq., Attorney, York, Pennsylvania
Public Comment Richard M. Layne, Esq., Portland, Oregon
Public Comment Sarah G. Anderson, Esq., Charleston, South Carolina
Public Comment Steph D. M, Esq., New York, New York
Public Comment Steven B. Caruso, Esq., Maddox Hargett Caruso, P.C., New York, New York
Public Comment Thomas C. Wagner, VanDeusen Wagner LLC, Cleveland, Ohio
Public Comment W. Scott Greco, Greco & Greco, P.C.
Public Comment Martin L. Feinberg, New York, New York
Public Comment Philip M. Aidikoff, Aidikoff, Uhl & Bakhtiari
Public Comment Thomas C. Wagner, VanDeusen & Wagner L.L.C.
Public Comment Seth E. Lipner, Professor of Law, Zicklin School of Business, Baruch College, CUNY Member, Deutsch Lipner, Garden City, New York
Public Comment Martin L. Feinberg, Attorney at Law, New York, New York
Public Comment Bryan Lantagne, Director, Massachusetts Securities Division, Chair, NASAA Broker-Dealer Arbitration Project Group, North American Securities Administrators, Inc.
Public Comment Robert S. Banks, Jr., Public Investors Arbitration Bar Association, Portland, Oregon
Public Comment Gary M. Berne, Stoll Stoll Berne Lokting & Shlachter P.C.
Public Comment Rosemary J. Shockman, President, Public Investors Arbitration Bar Association
Public Comment Tim Canning, Law Offices of Timothy A. Canning, Arcata, California

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NASD-2005-079
Release Number
34-51981
How to submit comments