Comments on NASD Rulemaking

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 thereto by the National Association of Securities Dealers, Inc. Relating to Proposed New Uniform Definition of "Branch Office" under NASD Rule 3010(g)(2)

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

Comment
A: 756
B: 45

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Date Received
Date Letter Type Commenter Name
Public Comment Carl B. Wilkerson, Vice President and Chief Counsel - Securities & Litigation, American Council of Life Insurers
Public Comment Barbara Z. Sweeney, Senior Vice President and Corporate Secretary, The National Association of Securities Dealers, Inc.
Public Comment Carl Lundgren
Public Comment Charles Ehlert, Rural Insurance Companies
Public Comment Raymond Howen, Rural Insurance Companies
Public Comment Jim Jacobsen, State Farm
Public Comment Minoo Spellerberg, Compliance Director, Princor Financial Services Corporation
Public Comment Lawrence J. Fowler, Jr., CLU, LUTCF, Agent
Public Comment David Niederbaumer, CLU, ChFC, Financial Associate and Matt Niederbaumer, Financial Associate
Public Comment Gene Imke
Public Comment Gary A. Sanders, National Association of Insurance and Financial Advisors
Public Comment Michael Leahy, President, NYLIE Securities Inc.
Public Comment Al Villasenor, Unisure Insurance Services Inc. and Villasenor Insurance Associates
Public Comment Bob Geis, CLU Registered Representative, AXA Network
Public Comment Jeffrey K. Hoelzel,, MTL Equity Products, Inc.
Public Comment Peter J. Mersberger, Mersberger Financial Group, Inc.
Public Comment Gerald J. OBee, CLU, ChFC, CLTC, Insurance and Financial Services, MassMutual Financial Group
Public Comment Sherri Branson, Agent, State Farm Insurance Companies
Public Comment Arthur K. Gruber, CLU, Registered Representative, AXA Advisors, LLC
Public Comment Charles Barley
Public Comment Clark Hall
Public Comment Connie Walenta
Public Comment Edwin P. Morrow, CLU, ChFC, CFP, RFC, President and CEO, International Assoication of Registered Financial Consultants, Inc.
Public Comment Joan M. Halstead, CLU, REBC, ChCF, Chartered Financial Consultant, Halstead Financial Associates
Public Comment John R. Claborn of John R. Claborn & Associates
Public Comment Karen R. Hammond, ChFC, The Hammond Agency, Inc.
Public Comment Michael Lisle, Mutual of Omaho Insurance Company
Public Comment Mike Becher
Public Comment Rod Bieber
Public Comment Roy D. Vega, Vega Insurance & Financial Services

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NASD-2003-104
Release Number
34-48897
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