NASD Notice to Members 98-030 - March 1998

NASD Office of the Ombudsman Clarifies Its Role

Executive Summary

The National Association of Securities Dealers, Inc. (NASD®) Office of the Ombudsman staff has helped resolve many issues and concerns raised by members and their associated persons, issuers and their associated persons, and investors. With a staff of four full-time Ombudspersons, the Office has been able to better serve the steady growth in the number of concerns that are brought to its attention.