Comments on NASD and NYSE Rulemaking

Notice of Filing of Proposed Rule Changes by the National Association of Securities Dealers, Inc. and the New York Stock Exchange, Inc. Relating to Research Analyst Conflicts of Interest

(Release No. 34-45526; File Nos. SR-NASD-2002-21; SR-NYSE-2002-09

• Comments of Dennis R. Roth, Vice President/Research, Chesapeake Securities Research Corporation, January 2, 2003 (File name: drroth1.htm)
• Comments of Alexander Lange, May 21, 2002 (File name: alange1.txt)

• Comments of Lee A. Pickard, Esq., Pickard and Djinis LLP, Counsel to The Alliance In Support of Independent Research, May 1, 2002 (File name: pickard1.htm)

• Comments of John D. Spears, Managing Direcor, Tweedy Browne Company LLC, May 8, 2002 (File name: spears1.txt)

• Additional comments of Mari-Anne Pisarri, First Call and Investment Management Group of Thomson Financial Inc., May 7, 2002 (File name: edick2.htm)

• Comments of David A. Hauck, Charlotte, NC, May 7, 2002 (File name: hauck1.txt)

• Comments of Dan Jamieson, May 6, 2002 (File name: jamieson1.txt)

• Comments of Lee A. Pickard, Esq., Pickard and Djinis LLP, Counsel to The Alliance In Support of Independent Research, May 1, 2002 (File name: pickard1.htm)

• Comments of Stanley Keller, Chair-Committee on Federal Regulation of Securities; Brandon Becker, Chair-Subcommittee on Market Regulation; Stephen H. Cooper, Chair-Subcommittee on International Securities Matters; Alan Berkeley, Chair-Subcommittee on Securities Regulation; Section of Business Law of the American Bar Association, April 30, 2002 (File name: keller1.htm)

• Comments of Joseph McLaughlin, April 30, 2002 (File name: mclaughlin1.htm)

• Comments of Thomas Olsen, April 25, 2002 (File name: oslen1.txt)

• Comments of Joe Gatto, Founder & CEO, StarMines Corporation, San Francisco, CA, April 22, 2002 (File name: gatto1.htm)

• Comments of Credit Suisse First Boston, April 19, 2002 (File name: creditsuisse1.htm)

• Comments of David C. Prince, Chief Legal and Compliance Officer, SunTrust Capital Markets Inc., April 18, 2002 (File name: prince1.htm)

• Comments of Sullivan & Cromwell, April 18, 2002 (File name: sullivancromwell1.htm)

• Comments of Sarah A. Miller, American Bankers Association and the ABA Securities Association, April 18, 2002 (File name: miller1.htm)

• Comments of W. Hardy Callcott, Senior Vice President and General Counsel, Charles Schwab & Co., Inc., April 18, 2002 (File name: callcott1.htm)

• Comments of Joseph Borg, President, North American Securities Administrators Association, Inc., April 18, 2002 (File name: borg1.htm)

• Comments of Robert C. Mendelson, Partner, Morgan Lewis, April 18, 2002 (File name: mendelson1.htm)

• Comments of Wachovia Securities, April 18, 2002 (File name: wachovia1.htm)

• Comments of Alex Massimi, Senior Vice President for Business Development, Sell-Side Equity Research, Jovus Inc., New York, NY, April 18, 2002 (File name: massimi1.htm)

• Comments of Stephen J. Massocca, Pacific Growth Equities Inc., San Francisco, CA, April 18, 2002 (File name: massocca1.htm)

• Comments of Benjamin Catalano, Dorsey & Whitney LLP, April 18, 2002 (File name: catalano1.htm)

• Comments of Gregory K. Palm, General Counsel-Managing Director, Goldman Sachs & Co.(NY), April 18, 2002 (File name: palm1.htm)

• Comments of Mari-Anne Pisarri, First Call and Investment Management Group of Thomson Financial Inc., April 15, 2002 (File name: edick1.htm)

• Comments of Stuart J. Kaswell, Senior Vice President and General Counsel, Securities Industry Association, April 11, 2002 (File name: kaswell1.htm)

• Comments of HSBC Securities (USA) Inc., April 4, 2002 (File name: hsbcsecurities1.htm)

• Comments of Cleary Gottlieb Steen & Hamilton, April 4, 2002 (File name: gottlieb1.htm)

• Comments of Robert M. Berson, President and Chief Operating Officer, Ryan Beck & Co., LLC, April 3, 2002 (File name: berson1.htm)

• Comments of Rob Tholemeier, Senior Equity Analyst, Wells Fargo Securities, March 15, 2002 (File name: tholemeier1.htm)

• Comments of Charles Rothschild, March 8, 2002 (File name: rothschild1.txt)

• Comments of Anonymous, February 26, 2002 (File name: anon022606.htm)

http://www.sec.gov/rules/sro/nd200221ny200209.shtml