Comments on NASD Rulemaking

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Business Continuity Plans and Emergency Contact Information

Comments have been received from individuals and entities using a variety of Letter Types:

Comment
A: 8

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Date Received
Date Letter Type Commenter Name
Public Comment Joseph H. Moglia, CEO, Ameritrade Holding Corporation
Public Comment W. Thomas Boulter, Vice President & Chief Compliance Officer, Jefferson Pilot Securities Corporation
Public Comment Barry S. Augenbraun, Senior Vice President and Corporate Secretary, Raymond James Financial, Inc.
Public Comment Henry H. Hopkins, Vice President & Chief Legal Counsel, and John R. Gilner, Vice President & Associate Legal Counsel, T. Rowe Price Group, Inc.
Public Comment Jerry W. Klawitter, SIA Business Continuity Planning Committee, Securities Industry Association
Public Comment Jerry W. Klawitter, SIA Business Continuity Planning Committee, TBMA Business Continuity Management Council, Securities Industry Association
Public Comment Jerry W. Klawitter, SIA Business Continuity Planning Committee, TBMA Business Continuity Management Council, on behalf of The Securities Industry Association and the Bond Market Association

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NASD-2002-108
Release Number
34-46444
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