NASD Notice to Members 99-73 - August 1999

NASD Regulation Requests Comment on Proposed Amendments to the Code of Procedure and Other Provisions; Comment Period Expires September 13, 1999

Executive Summary

The National Association of Securities Dealers, Inc. (NASD Association) Code of Procedure (the Code) has been in place since August 7, 1997. In light of the Association’s additional experience litigating matters under the Code, the Association is proposing a series of clarifying and substantive changes to the Code and other provisions as described more fully below.

 

Questions concerning this Notice to Members—Request for Comment may be directed to Eric Moss, Assistant General Counsel, NASD Regulation, at (202) 728-8982.