Comments on NASD Rulemaking

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Establishing an Effective Date For NASD Rule 3370, Affirmative Determination Requirements

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

Comment
(S7-23-03 form letter H; SR-NASD-2004-031 form letter A): 18 (Same as Type H for S7-23-03)
B: 5

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Date Letter Type Commenter Name
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Public Comment J. Knepp
Public Comment William Lehr, Johns Island, South Carolina
Public Comment CT Carbs
Public Comment CT Carbs
Public Comment John O'Brien
Public Comment J. Knepp
Public Comment Michael Klymenko
Public Comment David Patch, www.investigatethesec.com
Public Comment Mark Hummel
Public Comment Comments of "Delweine,"
Public Comment J. Hotochin
Public Comment Jeannie DeMarco
Public Comment John O'Brien
Public Comment Peter Zafirides, Columbus, Ohio
Public Comment David Morgan
Public Comment Francis Owono
Public Comment Frank Ragonese, Estero, Florida
Public Comment Kenneth D. Baxter
Public Comment Paul Nelson, Santa Barbara, California
Public Comment an anonymous reviewer
Public Comment an anonymous reviewer
Public Comment David Patch, www.investigatethesec.com
Public Comment Dr. James Graham

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NASD-2004-031
Release Number
34-49285
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