Comments on NASD Rulemaking

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change Relating to Supervisory Control Amendments

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Date Received
Date Letter Type Commenter Name
Public Comment Lisa Roth, President, Monahan & Roth, LLC
Public Comment Ralph A. Lambiase, NASAA President and Director, Connecticut Division of Securities, North American Securities Administrators Association, Inc.
Public Comment Carl B. Wilkerson, Chief Counsel, Securities & Litigation, American Council of Life Insurers
Public Comment Dennis S. Kaminski, Executive Vice President, Chief Administrative Officer, Mutual Service Corporation
Public Comment John Polanin Jr., Chairman, Self-Regulation and Supervisory Practices Committee, Securities Industry Association
Public Comment Julie Gebert, Vice President, Director of Compliance, United Planners Financial Services of America
Public Comment S. Kendrick Dunn, Assistant Vice President, Pacific Select Distributors, Inc.
Public Comment Barbara Black, Director; Jill I. Gross, Director; Jessica Longobardi, Student Intern, Pace Investor Rights Project, Pace University School of Law
Public Comment Neal E. Nakagiri, President and Chief Executive Officer, Associated Securities Corp.
Public Comment Pamela K. Cavness, Director of Compliance, Edward D. Jones & Co., LP
Public Comment Terry L. Lister, Counsel
Public Comment Robert S. Rosenthal, Second Vice President and Associate General Counsel
Public Comment Scott L. Fagin, CCO/CFO, Jeffrey Matthews Financial Group, LLC
Public Comment Beth E. Weimer, Chief Compliance Officer, American Express Financial Advisors Inc.
Public Comment James F. McGuire, Senior Vice President, Chief Compliance Officer, Linsco/Private Ledger, Corp
Public Comment Rod P. Michel, President, World Trade Financial Corporation
Public Comment Bridget M. Gaughan, Executive Vice President, Chief Legal and Regulatory Counsel, AIG Advisor Group, Inc.
Public Comment Marcia L. Martin, President, CUNA Brokerage Services, Inc.
Public Comment Terry L. Lister, General Counsel, Cambridge Investment Research, Inc.
Public Comment Neal E. Nakagiri, President and Chief Executive Officer, Associated Securities Corp.
Public Comment Adam Antoniades, President/COO, First Allied Securities, Inc.
Public Comment Brian C. Underwood, Senior Vice President - Director of Compliance, A.G. Edwards & Sons, Inc., St. Louis, Mo.
Public Comment Charles Lesko, Jr., President, Lesko Securities, Inc.
Public Comment Christopher R. Franke, Chairman, Self-Regulation and Supervisory Practices Committee, Securities Industry Association
Public Comment Craig A. Junkins, President and Chief Executive Officer, FFP Securities
Public Comment Dennis S. Kaminski, Executive Vice President/CAO, Mutual Service Corporation
Public Comment Gregory D. Teese, Vice President, Compliance, Equity Services, Inc.
Public Comment John L. Dixon, President, Pacific Select Distributors, Inc.
Public Comment John M. Lefferts, President, AXA Advisors, LLC
Public Comment Michael G. Brennan, Associate Counsel & Assistant Secretary, Woodbury Financial Services, Inc.

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NASD-2002-162
Release Number
34-46859
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