Comments on NASD and NYSE Rulemaking

Notice of Filing of Proposed Rule Changes by the National Association of Securities Dealers, Inc. and the New York Stock Exchange, Inc. Relating to Research Analyst Conflicts of Interest

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Date Received
Date Letter Type Commenter Name
Public Comment Dennis R. Roth, Vice President/Research, Chesapeake Securities Research Corporation
Public Comment Alexander Lange
Public Comment John D. Spears, Managing Direcor, Tweedy Browne Company LLC
Public Comment David A. Hauck, Charlotte, NC
Public Comment Mari-Anne Pisarri, First Call and Investment Management Group of Thomson Financial Inc.
Public Comment Dan Jamieson
Public Comment Lee A. Pickard, Esq., Pickard and Djinis LLP, Counsel to The Alliance In Support of Independent Research
Public Comment Joseph McLaughlin
Public Comment Stanley Keller, Chair-Committee on Federal Regulation of Securities; Brandon Becker, Chair-Subcommittee on Market Regulation; Stephen H. Cooper, Chair-Subcommittee on International Securities Matters; Alan Berkeley, Chair-Subcommittee on Securities Regulation; Section of Business Law of the American Bar Association
Public Comment Thomas Olsen
Public Comment Joe Gatto, Founder & CEO, StarMines Corporation, San Francisco, CA
Public Comment Credit Suisse First Boston
Public Comment Alex Massimi, Senior Vice President for Business Development, Sell-Side Equity Research, Jovus Inc., New York, NY
Public Comment Benjamin Catalano, Dorsey & Whitney LLP
Public Comment David C. Prince, Chief Legal and Compliance Officer, SunTrust Capital Markets Inc.
Public Comment Gregory K. Palm, General Counsel-Managing Director, Goldman Sachs & Co.(NY)
Public Comment Joseph Borg, President, North American Securities Administrators Association, Inc.
Public Comment Robert C. Mendelson, Partner, Morgan Lewis
Public Comment Sarah A. Miller, American Bankers Association and the ABA Securities Association
Public Comment Stephen J. Massocca, Pacific Growth Equities Inc., San Francisco, CA
Public Comment Sullivan & Cromwell
Public Comment W. Hardy Callcott, Senior Vice President and General Counsel, Charles Schwab & Co., Inc.
Public Comment Wachovia Securities
Public Comment Mari-Anne Pisarri, First Call and Investment Management Group of Thomson Financial Inc.
Public Comment Stuart J. Kaswell, Senior Vice President and General Counsel, Securities Industry Association
Public Comment Cleary Gottlieb Steen & Hamilton
Public Comment HSBC Securities (USA) Inc.
Public Comment Robert M. Berson, President and Chief Operating Officer, Ryan Beck & Co., LLC
Public Comment Rob Tholemeier, Senior Equity Analyst, Wells Fargo Securities
Public Comment Charles Rothschild

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NASD-2002-21
SR-NYSE-2002-09
Release Number
34-45526
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