Comments on NYSE and NASD Rulemaking

Notice of Filing of Proposed Rule Changes by the New York Stock Exchange, Inc. Relating to Exchange Rules 344 ("Supervisory Analysts"), 345A ("Continuing Education for Registered Persons"), 351 ("Reporting Requirements") and 472 ("Communications with the Public") and by the National Association of Securities Dealers, Inc. Relating to Research Analyst Conflicts of Interest

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Date Received
Date Letter Type Commenter Name
Public Comment Deborah A. Lamb, Chair, U.S. Advocacy Committee; and Linda L. Rittenhouse, Staff, AIMR Advocacy, Association for Investment Management and Research (AIMR)
Public Comment Bruce W. Maisel, VP & Senior Corporate Counsel, Charles Schwab & Co., Inc.
Public Comment Charles Williams, Managing Director and Chief Operating Officer, Banc of America Securities
Public Comment Charles Williams, Managing Director and Chief Operating Officer, Banc of America Securities
Public Comment Robert C. Dinerstein, Chairman, Federal Regulation Committee, Securities Industry Association
Public Comment Yoon-Young Lee, Wilmer, Cutler & Pickering, on behalf of of Banc of America Securities LLC; Citigroup Global Markets Inc.; Credit Suisse First Boston LLC; Goldman, Sachs & Co.; JPMorgan Securities Inc.; Lehman Brothers Inc.; Merrill Lynch, Pierce, Fenner & Smith Incorporated; Morgan Stanley & Co. Incorporated; and UBS Securities LLC
Public Comment Karen L. Barr, General Counsel, Investment Counsel Association of America
Public Comment Sullivan & Cromwell LLP
Public Comment Robert C. Dinerstein, Chairman, SIA Federal Regulation Committee, Securities Industry Association
Public Comment Pierre M. Gentin, Director and General Counsel, Global Research, Credit Suisse First Boston LLC
Public Comment Bruce W. Maisel, VP & Senior Corporate Counsel, Charles Schwab & Co., Inc.
Public Comment Robert C. Dinerstein, Chairman, Federal Regulation Committee, Securities Industry Association
Public Comment Yoon-Young Lee, Wilmer, Cutler & Pickering, on behalf of Banc of America Securities LLC; Credit Suisse First Boston LLC; Goldman, Sachs & Co.; JPMorgan Securities Inc.; Lehman Brothers Inc.; Merrill Lynch, Pierce, Fenner & Smith Incorporated; Morgan Stanley & Co. Incorporated; and UBS Warburg LLC
Public Comment Adams, Harkness & Hill, Inc.; AG Edwards; Keefe, Bruyette & Woods, Inc.; Pacific Growth Equities, LLC; RBC Capital Markets; Stephens, Inc.; Stifel Nicolaus & Company; William Blair & Company
Public Comment Christine A. Bruenn, President, The North American Securities Administrators Association, Inc.
Public Comment David Prince, Chief Legal Officer, SunTrust Capital Markets, Inc.
Public Comment Gibson, Dunn & Crutcher LLP on behalf of The Associated Press, Dow Jones & Company, Inc., Forbes Inc., Gannett Company, Inc., The McGraw-Hill Companies, Inc., The Newspaper Association of America, The New York Times Company, Reuters, Time Inc., Tribune Company, The Washington Post Company
Public Comment Martin D. Weiss, Ph.D., Weiss Ratings, Inc.
Public Comment Robert C. Dinerstein, Chairman-SIA Federal Regulation Committee, Securities Industry Association
Public Comment Scott C. Cleland, Chairman of Investorside Research Association and CEO of the Precursor Group; John M. Eade, Vice Chairman of Investorside Research Association and President of Argus Research
Public Comment Stifel, Nicolaus & Company, Incorporated
Public Comment Deborah A. Lamb, Chair, U.S. Advocacy Committee; Linda L. Rittenhouse, Staff, AIMR Advocacy, Association for Investment Management and Research
Public Comment Vahan Janjigian, Ph.D., CFA, Forbes, Inc.
Public Comment Matthew Winkler, Editor-in-Chief, Bloomberg News
Public Comment Robert Lin

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NYSE-2002-49
SR-NASD-2002-154
Release Number
34-47110
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