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Printer-Friendly Last Updated: 5/15/08 FINRA Comment Letters

5/12/08 - FINRA Comment Letter to SEC regarding File No. S7-06-08; Release Nos. 34-57427; IC-28178; IA-2712--Notice of Filing of Proposed Rule Change to Amend Regulation S-P. 

11/27/07 - FINRA Comment Letter to SEC regarding Proposed National Market System Plan (SEC File Nos. 4-533 and 4-534) 

8/29/07 -  FINRA Comment Letter to SEC regarding File No. SR-NASDAQ-2007-001, Notice of Filing of Proposed Rule Change as Modified by Amendment No. 2 to Amend Nasdaq’s "Clearly Erroneous" Rule.

4/19/07 - NASD Comment Letter to SEC regarding File No. S7-22-06, Definition of Terms and Exemptions Relating to the "Broker" Exceptions for Banks.

2/16/06 - NASD Comment Letter to SEC regarding File No. SR-NYSE-2005-77, Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, 3, 4, 5 and 6 Relating to the Exchange's Business Combination with Archipelago Holdings, Inc.

4/4/05 - NASD Comment Letter on Proposed Rule:

Certain Broker-Dealers Deemed Not to Be Investment Advisers, Securities Exchange Act Release No. 50980; File No. S7-25-99

Certain Broker-Dealers Deemed Not To Be Investment Advisers

Release Nos. 34-50980; IA-2340; File No. S7-25-99

3/31/05 - NASD Comment Letter to SEC regarding Investment Company Act Release No. 26778 (March 1, 2005) (the "Supplemental Request for Comment") 

3/15/05 - NASD Comment Letter on Concept Release:
Concept Release Concerning Self-Regulation -- File No. S7-40-04

SEC Concept Release Concerning Self-Regulation
Release No. 34-50700; File No. S7-40-04

3/8/05 - NASD Comment Letter on Proposed Rule:
Notice of Proposed Rulemaking Concerning Governance,
Administration, Transparency, and Ownership of Self-Regulatory Organizations -- File No. S7-39-04

SEC Rule Proposal:
Fair Administration and Governance of Self-Regulatory Organizations; Disclosure and Regulatory Reporting by Self-Regulatory Organizations; Recordkeeping Requirements for Self-Regulatory Organizations; Ownership and Voting Limitations for Members of Self-Regulatory Organizations; Ownership Reporting Requirements for Members of Self- Regulatory Organizations; Listing and Trading of Affiliated Securities by a Self- Regulatory Organization -- File No. S7-39-04

2/11/05 - NASD Comment Letter on Proposed Rule:

Certain Broker-Dealers Deemed Not to Be Investment Advisers, Securities Exchange Act Release No. 50980; File No. S7-25-99 ("Proposing Release")

Certain Broker-Dealers Deemed Not To Be Investment Advisers

Release Nos. 34-50980; IA-2340; File No. S7-25-99

5/4/04 - NASD Comment Letter to SEC regarding disclosure for transactions in certain mutual funds and other securities.

6/20/03 - NASD Comment Letter - SEC Release No. 34-47849 (File No. S7-11-03)