Comments on NASD Rulemaking

Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc. Relating to Proposed Amendments to NASD Rules 4200 and 4350 Regarding Board Independence and Independent Committee

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Date Received
Date Letter Type Commenter Name
Public Comment Dorothy M. Donohue, Associate Counsel, Investment Company Institute
Public Comment Joseph S. Schwertz Jr., Whitney Holding Corporation
Public Comment Sarah A.B. Teslik, Executive Director, Council of institutional Investors
Public Comment Richard L. Trumka, American Federation of Labor and Congress of Industrial Organizations
Public Comment Mark R. Beatty, General Counsel, Cascade Investment, LLC
Meeting with SEC Officials Memorandum from Russell Mancuso, Counsel to Chairman Donaldson, regarding meeting with representatives of state treasuries and state retirement funds
Public Comment Morton Bahr, Communications Workers of America, AFL-CIO
Public Comment Chris Owens
Public Comment Peter S. Brown, Senior Vice President and General Counsel, Arrow Electronics, Inc.
Public Comment Mark R. Beatty, General Counsel, Cascade Investment, LLC
Public Comment Gary P. Kreider, Keating, Muething & Klekamp, P.L.L.
Public Comment George Kolber
Public Comment Peter M. Herman, CEO, Domaille Engineering, LLC
Public Comment Stanley Keller, Chair, Committee on Federal Regulation of Securities and Robert Todd Lang, Chair, Task Force on Listing Standards, American Bar Association
Public Comment Fritz Heimann, Chairman, and Nancy Zucker Boswell, Managing Director, Transparency International-USA
Public Comment David A. Kastelic, Esq., Senior Vice President and General Counsel, Cenex Harvest States Cooperatives
Public Comment Charlotte M. Bahin, Director of Regulatory Affairs and Senior Regulatory Counsel, America's Community Bankers
Public Comment Sarah A. Miller, Director, Center for Securities, Trust and Investments, American Bankers Association
Public Comment Mark G. Heesen, President, National Venture Capital Association
Public Comment Craig S. Tyle, General Counsel, Investment Company Institute
Public Comment Cary Klafter, Vice President, Legal and Government Affairs, Corporate Secretary, Intel Corporation
Public Comment D. Scott Huggins, CIA, CFSA, CFE, Senior Vice President & Chief Auditor, Fulton Financial Corporation

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NASD-2002-141
Release Number
34-47516
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