NASD Notice to Members 99-97 - December 1999

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.

 

Questions regarding this Notice should be directed to the Office of the Ombudsman, at (301) 212-2515, or toll free at (888) 700-0028.