Over the past several years, NASD Regulation, Inc. has conducted a comprehensive review of many of the National Association of Securities Dealers, Inc. rules. NASD Regulation plans to expand and build upon its review to ensure that the NASD rules are as streamlined as possible, and impose the least burden to accomplish their objectives. One key to the success of NASD Regulation's efforts to modernize the NASD rules will be industry input. NASD Regulation encourages all interested parties to suggest rules that should be the focus of this review. Suggestions that include specific explanations of the burdens imposed by a rule will be particularly helpful. We also invite specific comments about ways that investor protection can be assured through alternative regulatory approaches.
Questions concerning this Request for Comment may be directed to Eric J. Moss, Associate General Counsel, Office of General Counsel, NASD Regulation, at (202) 728-8982.
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