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Comments on NASD Rulemaking
Notice of Filing of Proposed Rule Change Relating to Proposed Rule 2342 Requiring Members to Provide New Customers, and All Customers Annually, Specific Information About the Securities Investor Protection Corporation ("SIPC")
(Release No. 34-54871; File No. SR-NASD-2006-124)
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Jun. 6, 2007 |
Josephine Wang, General Counsel, Securities Investor Protection Corporation
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Feb. 13, 2007 |
Frederick G. Ferrara, CFA, Chief Compliance Officer, Panattoni Securities, Inc.
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Feb. 7, 2007 |
Shirley Weiss, NASD, Washington, District of Columbia |
Jan. 12, 2007 |
Noland Cheng, Chairman, SIFMA Operations Committee |
Jan. 10, 2007 |
Christine E. Saccente, Vice President, Chief Compliance Officer, Operations Manager, Maxwell Noll Inc., Pasadena, California |
Dec. 30, 2006 |
John Harris, Chief Executive Officer, BondMart, Inc., New York, New York
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Dec. 28, 2006 |
William R. Sykes, CFP, President, Sykes Financial Services LLC, Member NASD
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Dec. 22, 2006 |
Kenneth M. Cherrier, JD, FLMI, Chief Compliance Officer, Fintegra Financial Solutions |
Dec. 22, 2006 |
Michael A. Pagano, JD, CFCP, CLU, 1st Global Capital Corp., Dallas, Texas |
Dec. 22, 2006 |
E. C. Blitz |
Dec. 21, 2006 |
Philip C. McMorrow, CFP, President, Cantella Co., Inc., Boston, Massachusetts |
Dec. 20, 2006 |
Frederick G. Ferrara, CFA, Chief Compliance Officer, Panattoni Securities, Inc.
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http://www.sec.gov/comments/sr-nasd-2006-124/nasd2006124.shtml
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