Comments on NASD Rulemaking

Notice of Filing of Proposed Rule Change and Amendments Nos. 1 and 2 by the National Association of Securities Dealers, Inc., Relating to the Application of NASD's Mark-Up Policy to Transactions in Government and Other Debt Securities

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Date Received
Date Letter Type Commenter Name
Public Comment Lee B. Spencer, Jr., Chairman, Federal Regulation Committee, and R. Gerald Baker, Chairman, Self-Regulation Committee

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NASD-97-61
Release Number
34-40511
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