In light of recent federal law, NASD Regulation, Inc. (NASD RegulationSM) has withdrawn its rule proposal addressing the permissible marketing activities and supervision of unregistered persons. NASD Regulation does not anticipate rule making in this area at the present time. With this Notice, NASD Regulation is reminding members of its current policy with respect to the permissible marketing activities of unregistered persons, as previously set forth in Notice to Members 88-50 (NtM 88-50).
Questions concerning this Notice may be directed to Gary L. Goldsholle, Associate General Counsel, Office of General Counsel, NASD Regulation, at (202) 728-8104.
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