NASD Notice to Members 06-06 - January 2006
NASD Requests Comment on Proposed Interpretive Material IM-3060 Addressing Gifts and Business Entertainment; Comment Period Expired February 23, 2006
Executive Summary
NASD is proposing interpretive material (IM) to Rule 3060 (Influencing or Rewarding Employees of Others) to more explicitly outline the policies and procedures a member must adopt in connection with its business entertainment practices with employees of a customer. The proposed IM would expand on and supersede prior staff guidance in this area.
Hard copy comments should be mailed to Barbara Z. Sweeney. Questions regarding this Notice may be directed to Gary L. Goldsholle, Associate Vice President and Associate General Counsel, Office of General Counsel, NASD Regulatory Policy and Oversight, at (202) 728-8104.
The comment period was extended to March 3, 2006.
The views, expressions, findings and opinions expressed in the comments on this Web page are solely those of the author(s) and FINRA accepts no responsibility for the content of the comments.
| Comments By |
Date Received |
|
Pinnacle Taxx Advisors, Inc.
|
1/26/2006
|
|
Keefe, Bruyette & Woods
(PDF 58 KB)
|
1/26/2006
|
|
Private Bank Compliance
|
1/30/2006
|
|
Evolve Securities, Inc.
|
1/31/2006
|
|
Seasongood & Mayer, LLC
(PDF 103 KB)
|
2/2/2006
|
|
Plexus Consulting
|
2/6/2006
|
|
Dominion Investor Services, Inc.
|
2/13/2006
|
|
NRS
(PDF 262 KB)
|
2/15/2006
|
|
T. Rowe Price Investment Services, Inc.
(PDF 191 KB)
|
2/21/2006
|
|
Maplewood Investment Advisors, Inc.
|
2/22/2006
|
|
Financial Services Institute
(PDF 74 KB)
|
2/22/2006
|
|
Investment Company Institute
(PDF 64 KB)
|
2/23/2006
|
|
Coker Palmer Phillips & Mullen
|
2/23/2006
|
|
Financial Network
(PDF 37 KB)
|
2/23/2006
|
|
ING Americas
(PDF 355 KB)
|
2/23/2006
|
|
Griffin, Kubik, Stephens & Thompson
|
2/23/2006
|
|
Transamerica Financial Advisors, Inc.
(PDF 17 KB)
|
2/23/2006
|
|
HD Vest Investment Services
(PDF 278 KB)
|
2/23/2006
|
|
National Society of Compliance Professionals, Inc.
(PDF 47 KB)
|
2/23/2006
|
|
Hines Real Estate Securities, Inc.
(PDF 70 KB)
|
2/23/2006
|
|
Griffen, Kubik, Stephens & Thompson, Inc.
(PDF 10 KB)
|
3/2/2006
|
|
Debevoise & Plimpton LLP
(PDF 156 KB)
|
3/3/2006
|
|
Neal E. Nakagiri
|
3/3/2006
|
|
Wachovia Capital Markets, LLC
(PDF 30 KB)
|
3/3/2006
|
|
Bond Market Association
(PDF 52 KB)
|
3/3/2006
|
|
Goodwin Browning & Luna Securities, Inc.
|
3/3/2006
|
|
ABA Securities Association
(PDF 103 KB)
|
3/3/2006
|
|
Transamerica Capital, Inc.
(PDF 26 KB)
|
3/3/2006
|
|
Securities Industry Association
(PDF 204 KB)
|
3/7/2006
|
