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 Received
Date Letter Type Commenter Name
Public Comment Jerry Brandon
Public Comment Gary Goodenow, www.RealityAtTheSEC.com
Public Comment Anonymous reviewer
Public Comment Anonymous reviewer
Public Comment Bill Nasser
Public Comment Carolyn Talarr
Public Comment Charles Rice, Atlanta, Texas
Public Comment J.T. Wilson
Public Comment Jerry G. Brandon, Office Manager, Computer Systems Administrator, Coastal International Security
Public Comment Judy Cline
Public Comment an anonymous reviewer
Public Comment an anonymous reviewer
Public Comment Catherine Schneider
Public Comment David Munday, Eugene, Oregon
Public Comment Jeff Bennett
Public Comment Peter Mitchell
Public Comment Rick Stevens
Public Comment Tom Robischon
Public Comment J. Starr

Last Reviewed or Updated: Dec. 18, 2025

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