Comments on NASD Rulemaking

Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Amendments to the Rule Regarding Supervisory Control Systems, Rule 3012, to Require Notification of Reliance on "Limited Size and Resources" Exception

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Date Received
Date Letter Type Commenter Name
Public Comment Patricia M. Albrecht, Assistant General Counsel, NASD
Public Comment Deirdre B. Koerick, Lincoln Investment Planning, Inc., Wyncote, Pennsylvania

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NASD-2005-084
Release Number
34-52195
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