1998 Comment Letters

12/22/98
Hedging with Inter-company Derivative Contracts
12/16/98
Comment Letter re: NASD Mark-Up Policy
12/16/98
Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934; Securities Exchange Act Release No. 34-40518
12/14/98
A Request for the FCC to Forebear from Enforcing the Last Sentence of Section 212 on the Communications Act
12/14/98
NASD Notice to Members 98-75
12/14/98
NASD Proposed Guidance on Mark-up and Mark-down Practices for Debt Securities Other than Municipal Securities; File No. SR-NASD-97-61
11/23/98
Comments on Draft International Safe Harbor Privacy Principles
11/10/98
Guidance on Constructive Sales Under Section 1259 of the Code
11/06/98
FASB 125-Draft Implementation Guidance-2nd Edition
11/03/98
Release No. 34-40524; File No. SR-NYSE 98-27 Proposed Rules Regarding Mediation of Disputes and Various Procedural Matters
10/21/98
File No. SR-NYSE- 98-28 Proposed Rule Change Regarding the Arbitration of Employment Discrimination Claims
10/16/98
OTC Derivatives Dealers (Release No. 34-39454)
10/13/98
Over-the-Counter Derivatives Concept Release
10/08/98
Petition by London Clearing House Limited for Exemption Under Commodity Exchange Act Section 4(c)(1)
09/16/98
SBA Letter
09/14/98
Proposed Guidance on Qualified Covered Call Options
09/10/98
Release No. 34-40310 relating to proposed amendments to NASD Rule 2830; File No. SR-NASD-98-14
08/26/98
Association Comments Re: NYSE Rule 431
08/21/98
Response to Draft SEC E-mail Bulletin
08/19/98
Proposed Rule Change to Amend Method of Selecting Arbitrators in Customer Disputes File No. SR-NASD-98-48
08/17/98
NASD Notice to Members 98-42
08/07/98
Proposed Rule Relating to Reports to be made by Certain Investment Advisers Regarding Year 2000 Preparedness (File No. S7-20-98)
07/31/98
Withholding with Respect to Sales of Debt Obligations Between Interest Payment Dates
07/31/98
Regulation of Exchanges and Alternative Trading Systems File No. S7-12-98
07/31/98
Withholding with Respect to Sales of Debt Obligations Between Interest Payment Dates
07/28/98
Comment Letter re: Alternative Trading Systems (7/28/98)
07/24/98
GSCC's GCF Repo Service Comment Letter
07/15/98
Recommendations on Proposed Rule 3b-12
07/02/98
NASAA Model Rules for Sales of Securities at Financial Institutions
07/02/98
Model Qualified Intermediary Agreement
07/01/98
Comment Letter re: Proposal for Qualified Immunity for NASD Forms U-4, U-5
07/01/98
Securities Exchange Act Release No. 34-40074; (File No. SR-NASD-98-32)
06/16/98
NYSE Information Memo 98-16
06/12/98
SIA Business Review Letter Request for Information Sharing
06/08/98
Securities Exchange Act Release No. 34-39892; SR-NASD-98-18
06/02/98
FASB 125: Draft Implementation Guidance
06/01/98
Securities Exchange Act Release Nos. 34-39830; 34-39831; 34-39832; and 34-39829
05/20/98
File No. SR-NASD-98-18; Release No. 34-39892
05/19/98
Cross Trades of Securities
05/04/98
Securities Exchange Act Release No. 34-39718; File No. NASD-98-17
05/01/98
Margin Rule Comment Letter
05/01/98
Comment Ltr re: Regs T, U and X
05/01/98
Regulations T, U and X; Docket No. R-0995
04/28/98
Proposed Amendments to Rule 15c2-11 and Rule 17a-4
04/27/98
Comment Letter re: Proposed Amendments to Rule 15c2-11
04/27/98
Concept Release Regarding Regulation of Non-Competitive Transactions Executed on or Subject to the Rules of a Contract Market
04/24/98
Proposed Rule Relating to Reports to be Made by Certain Broker-Dealers Regarding Year 2000 Preparedness
04/22/98
Rule Proposal Regarding Requests for Exemptive, No-Action & Interpretative Letters
04/21/98
Proposed Regulations on Global Dealing Operations
04/21/98
Risk Management and Control Guidance for Securities Firms and Their Supervisors
04/15/98
Re: SR-NASD-97-26
04/06/98
Proposed Changes to Exchange Act Rules 17a-3 and 17a-4
04/06/98
Proposal Regarding OTC Derivatives Dealers (File No. S7-30-97)
03/27/98
NASD NTMs 98-14 and 98-15
03/13/98
SR-NASD-98-07 Proposed Rule Extending Time to Answer
03/09/98
Guidelines for Transactions Involving Intermediaries
02/11/98
Securities Exchange Act Rel. No 34-39361; SR-NASD-97-69
02/02/98
Comment Letter re: Risk-Based Capital Standards-Recourse and Direct Credit Substitutes
02/02/98
Delivery of Disclosure Documents to Households
01/27/98
Proposed Rule Change Relating to the Eligibility of Claims for Arbitration
01/21/98
Statement of the Securities Industry Association in Connection with New York Hearing on Gender Discrimination in the Securities Industry, January 22, 1998
01/15/98
Year 2000 Computer Remediation and Shareholder Protection Act of 1997
01/15/98
Proposed Exemption to Allow Investment Advisers to Charge Fees Based Upon a Share of Capital Gains
01/15/98
Exemption for Investment Advisers Operating in Multiple States
01/13/98
Proposed Rule Relating to the Arbitration of Employment Discrimination Claims

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