Comments on NASD Rulemaking

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by National Association of Securities Dealers, Inc. Relating to Shareholder Approval for Stock Option Plans or Other Arrangements

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Date Received
Date Letter Type Commenter Name
Public Comment Robert Todd
Public Comment Marsha D. Richter, Chief Executive Officer, Board of Investments of the Los Angeles County Employees Retirement Association
Public Comment James E. Heard, Chief Executive Officer; Patrick McGurn, Vice President and Special Counsel, Institutional Shareholder Services
Public Comment Mark G. Heesen, President, The National Venture Capital Association
Public Comment William G. Clark, Deputy Director, New Jersey Division of Investment, Department of the Treasury
Public Comment Herbert L. Dyer, Executive Director, State Teachers Retirement System of Ohio

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NASD-2002-140
Release Number
34-46649
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