NASD’s Advertising Regulation Department / Congress / NASD’s National Adjudicatory Council / Financial Planning Association / NASD’s Member Regulation Department / US Federal Reserve / Board of Governors / Securities and Exchange Commission / NASD / /
Person
Elliot Spitzer / Duane R. Thompson / Meyer Eisenberg / Annette L. Nazareth / Mary L. Schapiro / Annette L. Nazareth Meyer Eisenberg April / Katz / Catherine McGuire / Tom Selman / / /
Position
Investment Adviser Public Disclosure / broker and adviser / Vice President Regulatory Policy and Oversight April / chief compliance officer / Director / Division of Investment Management Catherine McGuire / Associate Director/Chief Counsel / Division of Market Regulation Duane R. Thompson / Vice Chairman and President / broker / investment adviser / Vice President Regulatory Policy and Oversight Attachments / Research Analyst / Executive Vice President / Director / Division of Market Regulation Meyer Eisenberg / Acting Director / Division of Investment Management / representative / advisory representative / analyst / Attorney General / salesman / proprietor / Secretary / adviser / testing and registration requirements.4 An investment adviser / Director / Division of Investment Management Catherine McGuire / Associate Director/Chief Counsel / Division of Market Regulation / Associate Director/Chief Counsel / Division of Market Regulation Duane R. Thompson / Director / Division of Market Regulation Meyer Eisenberg / Acting Director / Division / /
Comments of NASD on s7-25-95