Notice to Members 06-06 - View Comments

NASD Requests Comment on Proposed Interpretive Material IM-3060 Addressing Gifts and Business Entertainment

Comment Period Expired February 23, 2006
The comment period was extended to March 3, 2006.

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: 
DateCommenterFormat - Size
1/31/2006Evolve Securities, Inc.PDF - 43.63 KB
1/30/2006Private Bank CompliancePDF - 28.99 KB
1/26/2006Pinnacle Taxx Advisors, Inc.PDF - 29.92 KB
2/2/2006Seasongood & Mayer, LLCPDF - 102.13 KB
1/26/2006Keefe, Bruyette & WoodsPDF - 57.41 KB
2/6/2006Plexus ConsultingPDF - 27.99 KB
2/13/2006Dominion Investor Services, Inc.PDF - 18.23 KB
2/15/2006NRSPDF - 261.91 KB
2/22/2006Maplewood Investment Advisors, Inc.PDF - 43.26 KB
2/22/2006Financial Services InstitutePDF - 73.96 KB
2/21/2006T. Rowe Price Investment Services, Inc.PDF - 190.24 KB
2/23/2006Financial NetworkPDF - 36.11 KB
2/23/2006Coker Palmer Phillips & MullenPDF - 29.42 KB
2/23/2006National Society of Compliance Professionals, Inc.PDF - 46.9 KB
2/23/2006Hines Real Estate Securities, Inc.PDF - 69.05 KB
2/23/2006ING AmericasPDF - 354.95 KB
2/23/2006Investment Company InstitutePDF - 64.61 KB
2/23/2006Griffin, Kubik, Stephens & ThompsonPDF - 29.48 KB
2/23/2006HD Vest Investment ServicesPDF - 277.41 KB
2/23/2006Transamerica Financial Advisors, Inc.PDF - 16.95 KB
3/3/2006Neal E. NakagiriPDF - 32.13 KB
3/2/2006Griffen, Kubik, Stephens & Thompson, Inc.PDF - 9.83 KB
3/3/2006Wachovia Capital Markets, LLCPDF - 29.35 KB
3/3/2006ABA Securities AssociationPDF - 102.55 KB
3/3/2006Goodwin Browning & Luna Securities, Inc.PDF - 29.53 KB
3/3/2006Bond Market AssociationPDF - 51.12 KB
3/3/2006Transamerica Capital, Inc.PDF - 25.33 KB
3/3/2006Debevoise & Plimpton LLPPDF - 155.64 KB
3/7/2006Securities Industry AssociationPDF - 203.71 KB