NASD Notice To Members 97-37 - June 1997

NASD Regulation Requests Comment on Proposed Definition of Correspondence for Rules Regarding Communications With the Public; Comment Period Expires July 15, 1997

Executive Summary

In the following document, NASD Regulation, Inc. (NASD RegulationSM) requests comment on proposed amendments to NASD® Rule 2210 to require that written or electronic communications prepared for a single customer be subject to the general and specific standards, but not the filing and review requirements, of NASD Rules regarding communications with the public.

 

Questions concerning this Request For Comment may be directed to Thomas A. Pappas, Associate Director, Advertising Regulation, NASD Regulation, at (202) 728-8330; or Robert J. Smith, Senior Attorney,  Office of General Counsel, NASD Regulation, at (202) 728-8176.