NASD Notice to Members 97-48 - August 1997

NASD Regulation Requests Comment on Amendments to Rules Governing Sale and Distribution of Investment Company Shares and Variable Insurance Products; Comment Period Expires September 29, 1997

Executive Summary

NASD Regulation, Inc. (NASD RegulationSM) requests member comment on proposed amendments that would revise NASD® Conduct Rule 2830, governing the sale and distribution of investment company shares (the Investment Company Rule), and NASD Conduct Rule 2820, governing the sale and  distribution of variable insurance contracts (the Variable Contracts Rule).

 

Questions concerning this Request For Comment should be directed to Thomas M. Selman, Director, or Joseph E. Price, Counsel, Advertising/Investment Companies Regulation, NASD Regulation, at (202) 728-8330 or Robert J. Smith, Senior Attorney, Office of General Counsel, NASD Regulation, at (202) 726-8176.