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Comments on NASD Rulemaking
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Sub-Penny Restrictions for Non-Nasdaq Over-the-Counter Equity Securities
(Release No. 34-52280; File No. SR-NASD-2005-095)
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Feb. 14, 2007 |
Andrew B. Stevens, Assistant General Counsel, NYSE Group, Inc., and Greg O'Connor, Director of Compliance, Archipelago Trading Services, Inc. |
Mar. 6, 2006 |
Pershing LLC |
Feb. 21, 2006 |
Patrick E. Brake, Jr., General Counsel; Hill, Thompson, Magid & Co., Inc. |
Feb. 17, 2006 |
Jerry O'Connell, Chairman , Trading Committee, Securities Industry Association |
Feb. 8, 2006 |
William Yancey, Chairman and John C. Giesea, President and CEO, Security Traders Association |
Jan. 24, 2006 |
R. Cromwell Coulson, Chief Executive Officer, Pink Sheets LLC |
Jan. 24, 2006 |
Phylis M. Esposito, Executive Vice President, Chief Strategy Officer, Ameritrade, Inc. |
Jan. 24, 2006 |
Leonard J. Amoruso, Knight Capital Group, Inc. |
Jan. 24, 2006 |
Michael Santucci, President; Kimberly Unger, Esq., Executive Director; and Stephen J. Nelson, Esq., Co-Chair, Security Traders Association of New York, Inc., Trading Issues Committee |
Oct. 31, 2005 |
Phylis M. Esposito, Executive Vice President, Chief Strategy Officer, Ameritrade, Inc. |
Sep. 23, 2005 |
Kevin J. P. O'Hara, Chief Administrative Officer & General Counsel, Archipelago Trading Services, Inc. |
http://www.sec.gov/rules/sro/nasd/nasd2005095.shtml
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