Notice to Members 06-31
NASD Requests Comment on Regulatory Relief that Should Be Granted in Response to a Possible Pandemic or Other Major Business Disruption
NASD recognizes that, in the event of a global pandemic or similar disaster, some level of regulatory flexibility may be necessary to allow firms to best serve investors and maintain market stability. NASD also understands that investor protection is perhaps most critical during times of financial and social stress. To help NASD strike the appropriate balance, we are soliciting comment from members and other interested persons regarding what specific, short-term regulatory relief may be appropriate and consistent with NASD's mission, and what specific conditions may warrant such relief.
As noted above, hard copy comments should be mailed to Barbara Z. Sweeney. Questions concerning this Notice may be directed to Eric Moss, Vice President and Director of Emerging Regulatory Issues, at (202) 728-8982.
|Date||Commenter||Format - Size|
|9/18/2006||The Bond Market Association & Securities Industry Association||PDF - 145.51 KB|
|7/14/2006||Prudential||PDF - 31.45 KB|
|7/10/2006||Prudential||PDF - 29.69 KB|
|6/29/2006||Sanford C. Bernstein & Co., LLC||PDF - 32.04 KB|
|9/16/2006||ACLI||PDF - 34.3 KB|
|9/8/2006||TBT Securities, L.C.||PDF - 32.95 KB|
|9/15/2006||Janney Montgomery Scott, LLC||PDF - 38 KB|
|9/14/2006||Dreyfus Service Corporation||PDF - 66.27 KB|
|9/15/2006||Financial Services Institute||PDF - 61.82 KB|