Comments on NASD Rulemaking

Notice of Filing of Proposed Rule Change to Amend the By-Laws of NASD to Implement Governance and Related Changes to Accommodate the Consolidation of the Member Firm Regulatory Functions of NASD and NYSE Regulation, Inc.

(Release No. 34-55495; File No. SR-NASD-2007-023)

May 5, 2008	Memorandum from the Office of General Counsel and the Division of Trading and Markets regarding an April 29, 2008 conference call with representatives of FINRA
Jul. 27, 2007	Jack D. Jester
Jul. 26, 2007	Jonathan W. Cuneo, Cuneo Gilbert & Laduca, LLP and Richard D. Greenfield, Greenfield & Goodman LLC
Jul. 16, 2007	Mario J. Verdolini, Jr., Davis Polk & Wardwell
Jul. 16, 2007	William J. Haubert, Richards, Layton & Finger
Jul. 16, 2007	T. Grant Callery, Executive Vice President and General Counsel, NASD
Jun. 11, 2007	Jonathan W. Cuneo, Esq. and Richard D. Greenfield, Esq., Esquire, on behalf of Benchmark Financial Services, Inc.
June 4, 2007	Jack D. Jester
May 29, 2007	Linda D. Fienberg, President, Dispute Resolution, NASD, Washington, D.C.
May 29, 2007	Patrice M. Gliniecki, Senior Vice President and Deputy General Counsel, NASD, Washington, D.C.
May 4, 2007	Jonathan W. Cuneo, Esq. and Richard D. Greenfield, Esq., Esquire, on behalf of Benchmark Financial Services, Inc.
Apr. 26, 2007	Joan Hinchman, Executive Director, President and CEO, National Society of Compliance Professionals
Apr. 23, 2007	Michael J. Mungenast, Chief Executive Officer and President, ProEquities, Inc.
Apr. 18, 2007	William F. Galvin, Secretary of the Commonwealth, Commonwealth of Massachusetts
Apr. 17, 2007	Joseph P. Borg, Esq., NASAA President and Director, Alabama Securities Commission
Apr. 16, 2007	William R. Pictor, Jr., President, Trubee, Collins & Co., Inc.
Apr. 16, 2007	M. LaRae Bakerink, CEO, WBB Securities, LLC
Apr. 16, 2007	Walter S. Robertson, III, President & CEO, Scott & Stringfellow, Inc.
Apr. 16, 2007	Howard Spindel, Senior Managing Director, Integrated Management Solutions
Apr. 16, 2007	Kathryn L. Lundgren, Highland Park, Illinois
Apr. 16, 2007	Charlie Cray, Director, Center for Corporate Policy
Apr. 16, 2007	Steven B. Caruso, President, Public Investors Arbitration Bar Association
Apr. 16, 2007	Dale E. Brown, CAE, Executive Director & CEO, Financial Services Institute
Apr. 16, 2007	Mark S. Casady, Chairman and Chief Executive Officer, Linsco/Private Ledger Corporation
Apr. 16, 2007	William A. Johnstone, President and CEO, D.A. Davidson & Co.
Apr. 16, 2007	William C. Alsover, Chairman, Centennial Securities Company, LLC
Apr. 16, 2007	Donald R, Penrod, President, Penrod and Company
Apr. 16, 2007	Lisa Roth, Chairman, National Association of Independent Broker-Dealers
Apr. 16, 2007	Deborah Castiglioni, CEO, Cutter & Company, Inc.
Apr. 16, 2007	Bonnie K. Wachtel, Small Firm Owner
Apr. 16, 2007	David W. Stringer, President, Prospera Financial Services, Inc.
Apr. 16, 2007	Ira D. Hammerman, Senior Managing Director and General Counsel, Securities Industry and Financial Markets Association
Apr. 16, 2007	Johnny Q Member
Apr. 16, 2007	Johnny Q Member
Apr. 16, 2007	Albert Kramer, President, Kramer Securities Corporation, Miami, Florida
Apr. 16, 2007	Mary M. Eitel, former owner NASD member firm, Louisville, Kentucky
Apr. 16, 2007	David Isolano, CEO, Max International Broker Dealer Corp.
Apr. 15, 2007	Anonymous
Apr. 15, 2007	E. John Moloney, President & CEO, Moloney Securities Co., Inc.
Apr. 15, 2007	Mike Miller, CPA, President, Miller Financial Corp., Mequon, Wisconsin
Apr. 15, 2007	Mike Miller, CPA, President, Miller Financial Corp., Mequon, Wisconsin
Apr. 14, 2007	Gary L. Haney, EA, Broker Dealer, Enrolled Agent of IRS, CEO of United Insurance Group, Inc., Seymour, Missouri
Apr. 13, 2007	Craig Biddick, President, Mission Securities Corporation
Apr. 13, 2007	Ronald Patterson, President, Southcoast Investment Group Inc.
Apr. 13, 2007	John E. Schooler, CFP, CHfC, CFS, President of WFP Securities, San Diego, California
Apr. 13, 2007	Corey N. Callaway, President of Callaway Financial Services, Inc., Arlington, Texas
Apr. 13, 2007	Sam P. Solomon, Member NASD, Dallas, Texas
Apr. 13, 2007	Dan Mayfield, Memphis, Tennessee
Apr. 13, 2007	Warren R. Horney, Vice President, WFP Securities Corporation, San Diego, California
Apr. 13, 2007	Tom Hanson
Apr. 13, 2007	Edward A. H. Siedle, Esq., President, Benchmark Financial Services, Inc.
Apr. 13, 2007	John Q., NASD Member
Apr. 13, 2007	Peter M. Elish, President, Elish, Inc. - NASD member firm, Canonsburg, Pennsylvania
Apr. 13, 2007	Wayne A. Schultz, Esq., Chester, New Jersey
Apr. 13, 2007	Jerome S. Keenan, VP International Equities Services Inc., White Plains, New York
Apr. 13, 2007	Francis D. de Leeuw, CEO, Montreal, Canada
Apr. 12, 2007	Robert Keenan, CEO, St. Bernard Financial Services, Inc., Russellville, Arkansas
Apr. 12, 2007	Alan Vande Weerd, CFP, Eagle One Investments, LLC, Sac City, Iowa
Apr. 12, 2007	Martin J. Cohen, CFP, Rockwall, Texas
Apr. 12, 2007	Sennett Kirk, Kirk Securities Corporation, Denton, Texas
Apr. 12, 2007	Mary M. Eitel, former owner NASD member firm, Louisville, Kentucky
Apr. 12, 2007	Eric B. Arnold, CFP, EA, NAEA, Kalamazoo, Michigan
Apr. 12, 2007	Kevin J. High, Managing Director, Charleston, South Carolina
Apr. 12, 2007	Luke C. Schunk, Registered Representative, Tomahawk, Wisconsin
Apr. 12, 2007	Gary L. Flater, CEO, Littleton, Colorado
Apr. 12, 2007	Chester Hebert, CEO, CIM Securities LLC, Centennial, Colorado
Apr. 11, 2007	Les Greenberg, Esquire, Culver City, California
Apr. 11, 2007	Douglas W. Schriner, CEO, Harrison Douglas, Inc; NASD Dist 3 Committee, Aurora, Colorado
Apr. 10, 2007	Ari Gabinet, Principal, Securities Regulation, Vanguard Group
Apr. 8, 2007	Les Greenberg, Esquire, Culver City, California
Apr. 7, 2007	Bob and Linda King, Missouri
Apr. 5, 2007	Jack D. Jester, Three First National Plaza
Apr. 4, 2007	Gretchen Harriman-Thiessen, New York
Apr. 4, 2007	Michael Jordan, Control Officer, Securities Industry
Apr. 2, 2007	Joseph Kosinsky, MBA, NASD, New York, New York
Mar. 30, 2007	Judith Schapiro, MBA, New Jersey
Mar. 29, 2007	Joel Blumenschein, President, EZ Stocks, Inc., Brookfield, Wisconsin
Mar. 29, 2007	Daniel W. Roberts, Member of NASD District One Committee, San Francisco, California
Mar. 28, 2007	Charles Botzum, III
Mar. 28, 2007	Donald R. Hawks, President, Alpha Business Control Systems, Kensington, California
Mar. 28, 2007	Robert Keenan, CEO, St. Bernard Financial Services, Inc., Member NASD, Russellville, Arkansas
Mar. 28, 2007	John B. Busacca, III, Financial Industry Association, Orlando, Florida
Mar. 26, 2007	Peter J. Chepucavage, General Counsel, Plexus Consulting, on behalf of the International Association of Small Broker Dealers and Advisers
Jan. 26, 2007	Linda D. Fienberg, President, Dispute Resolution, Executive Vice President and Chief Hearing Officer, Regulatory Policy and Oversight, NASD
Jan. 12, 2007	Public Members of the Securities Industry Conference on Arbitration
Dec. 21, 2006	Mary S. Darcy, Managing Partner, The Darcy Group LLC, Syracuse, New York
Dec. 15, 2006	Samuel F. Lek, Lek Seourities Corporation
Dec. 11, 2006	Franco Mortarotti, Zermatt Capital Management