Comments on NYSE Rulemaking

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the New York Stock Exchange, Inc. to Adopt Rule 405A ("Non-Managed Fee-Based Account Programs - Disclosure and Monitoring")

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Date Received
Date Letter Type Commenter Name
Public Comment Nathan N. Withington, Smith Barney
Public Comment Barbara Black, Co-Director, Jill I. Gross, Co-Director, and Bob Kim, Student Intern
Public Comment Curt Bradbury, Chief Operating Officer, Stephens Inc.
Public Comment Ira D. Hammerman, General Counsel, Securities Industry Association
Public Comment Rosemary J. Shockman, Public lnvestors Arbitration Bar Association

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NYSE-2004-13
Release Number
34-50586
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