Comments on NASD Rulemaking

Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to NASD Rule 3370

Filter comments


Date Sort descending	Letter Type	Commenter Name
Aug. 24, 2005	Public Comment	Ira D. Hammerman, Senior Vice President and General Counsel, Securities Industry Association
Aug. 24, 2005	Public Comment	Julian Rainero, Bingham McCutchen LLP, on behalf of Bear, Stearns & Co.; BNY Brokerage, Inc.; Merrill Lynch; Pierce, Fenner & Smith, Incorporated; Pershing LLC; SunTrust Capital Markets, Inc.; and UBS Securities LLC
Aug. 23, 2005	Public Comment	Shane Swanson, General Counsel and Director of Compliance, Automated Trading Desk, LLC

Last Reviewed or Updated: Dec. 18, 2025

File Number

SR-NASD-2005-093

Release Number

34-52131