Comments on NASD Rulemaking

Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Principal Pre-Use Approval of Member Correspondence to 25 or More Existing Retail Customers Within a 30 Calendar-Day Period

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Date Received
Date Letter Type Commenter Name
Public Comment Philip A. Shaikun, Associate Vice President and Associate General Counsel, NASD, Washington, District of Columbia
Public Comment Dale E. Brown, President and CEO, Financial Services Institute, Inc.
Public Comment Jack R. Handy, Jr., President and CEO, Financial Network Investment Corporation
Public Comment Timothy M. Kelly, Partner, Field Supervision, Edward D. Jones & Co., LP
Public Comment Dorothy M. Donohue, Associate Counsel, The Investment Company Institute
Public Comment Caroline B. Austin, CEO, Evolve Securities, Inc., Dallas, Texas
File Number
SR-NASD-2006-011
Release Number
34-53333
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