NASD Notice to Members 01-03 - January 2001

SEC Approves Early Expiration of Large and Complex Cases Rule; Effective Date: December 31, 2000

Executive Summary

On November 17, 2000, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (NASD®) rules that revise Rule 10334 to accelerate the expiration of the large and complex cases rule from August 1, 2002 to December 31, 2000.

 

Questions regarding this Notice may be directed to George H. Friedman, Senior Vice President and Director, NASD Dispute Resolution, Inc., at (212) 858-4488; or Laura Leedy Gansler, Counsel, NASD Dispute Resolution, Inc., at (202) 728- 8275.