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Comments on NASD Rulemaking
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Relating to Amendments to Rule 2320(g) (Three Quote Rule) and Corresponding Recordkeeping Requirements under Rule 3110(b)
(Release No. 34-54650; File No. SR-NASD-2004-130)
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Apr. 2, 2007 |
Andrea D. Orr, Assistant General Counsel, NASD |
Dec. 21, 2006 |
Bryce Engel, Chief Brokerage Operations Officer, TD AMERITRADE, Inc. |
Dec. 14, 2006 |
Debra V. Moore, Manager - NASDAQ/OTC Equity Trading, and Glenn A. Hoback, Implementation Consultant - Internal Controls, Wachovia Securities, LLC |
Dec. 8, 2006 |
James E. Twiss, Chief Policy Counsel, Market Regulation Services Inc., Toronto, Ontario |
Dec. 7, 2006 |
Christopher D. Climo, Managing Director, Compliance and Chief Compliance Officer, TD Securities Inc., Toronto, Ontario |
Dec. 1, 2006 |
George W. Lennon, President, Canadian Securities Traders Association, Inc., Toronto, Ontario, Canada |
Nov. 29, 2006 |
Rik Parkhill, Executive Vice President, President, TSX Markets, TSX Group Inc. |
Nov. 21, 2006 |
Bill Yancey, Chairman of the Board and John C. Giesea, President and CEO, Security Trader's Association |
Nov. 21, 2006 |
Grant Vingoe, Esq., Partner, Arnold Porter LLP, New York, New York |
Nov. 21, 2006 |
Achilles M. Perry, Associate General Counsel, CIBC World Markets Corp. |
Nov. 21, 2006 |
James Duncan, Senior Vice President & Director, and Andrew Jappy, Chief Information Officer & EVP, Canaccord Capital Corporation |
http://www.sec.gov/comments/sr-nasd-2004-130/nasd2004130.shtml
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