Comments on NYSE and NASD Rulemaking

Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 3, Relating to the Prohibition of Certain Abuses in the Allocation and Distribution of Shares in Initial Public Offerings ("IPOs")
Notice of Filing of Proposed Rule Changes Relating to the Prohibition of Certain Abuses in the Allocation and Distribution of Shares in Initial Public Offerings ("IPOs")

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Date Received
Date Letter Type Release Number Commenter Name
Public Comment 34-61690 Ross M. Langill, Chairman & CEO, Regal Bay Investment Group LLC
Public Comment 34-61690 Sean C. Davy, Managing Director, Corporate Credit Markets Division, Securities Industry and Financial Markets Association
Public Comment 34-61690 Jeffrey W. Rubin, Chair, Committee on Federal Regulation of Securities, Section of Business Law, American Bar Association
Public Comment 34-50896 Christopher J. Ailman, Chief Investment Officer, California State Teachers' Retirement System
Public Comment 34-50896 Christianna Wood, Senior Investment Officer, CalPERS Global Equity
Public Comment 34-50896 Eliot Spitzer, Attorney General, Office of the Attorney General, State of New York
Public Comment 34-50896 Phil Angelides, California State Teasurer; Michael Fitzgerald, Iowa State Treasurer; Randall Edwards, Oregon State Treasurer; Richard Moore, North Carolina State Treasurer; Alan Hevesi, New York Comptroller; George Philip, New York State Teachers' Retirement System; Orin S. Kramer, Chairman, New Jersey State Investment Council
Public Comment 34-50896 Michael Touff, Senior Vice President and General Counsel, M.D.C. Holdings
Public Comment 34-50896 Dixie L. Johnson, Committee Chair, Committee on Federal Regulation of Securities, Business Law Section, American Bar Association
Public Comment 34-50896 Edward M. Alterman, Special Counsel, Fried, Frank, Harris, Shriver & Jacobson LLP
Public Comment 34-50896 John Faulkner, Chairman, SIA Capital Markets Committee, Securities Industry Association
Public Comment 34-50896 Ross Langill
Public Comment 34-50896 Mark G. Heesen, President, National Venture Capital Association
Public Comment 33-8501, 34-50624, IS-1282, 34-50896 Renaissance Capital
Public Comment 34-50896 Dixie L. Johnson, Committee Chair, Committee on Federal Regulation of Securities, and Peter W. LaVigne, Chair, NASD Corporate Financing Rules Subcommittee, Committee on Federal Regulation of Securities, Business Law Section, American Bar Association

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NYSE-2004-12
SR-NASD-2003-140
Release Number
34-61690
34-50896
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