Comments on NASD Rulemaking

Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change Relating to Expansion of OATS Reporting Requirements to OTC Equity Securities

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Date Received
Date Letter Type Commenter Name
Public Comment Sergey Rumyantsev, President CEO, NevWest Securities Corporation, Las Vegas, Nevada
Public Comment John Polanin Jr., Chair, SIA Self-Regulation and Supervisory Practices Committee, Securities Industry Association
Public Comment Phylis M. Esposito, Executive Vice President, Chief Strategy Officer, Ameritrade, Inc.
Public Comment Rich Bertematti

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NASD-2005-101
Release Number
34-52581
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