RCA - Winter 1999 - Ask the Analyst - Electronic Communications

Q. What standards under NASD Conduct Rule 2210 should registered individuals participating in public forums such as chat rooms follow?


A. NASD Conduct Rule 2210(d)(1)(C) requires that when participating in a public forum, member firms and associated persons shall follow the General and Specific Standards of the Rule as well as those applying to the use and disclosure of member firms’ names.