NASD Notice to Members 03-32 - June 2003

Clarification of NASD Establishment of Consultative Committees

Executive Summary

NASD is issuing this Notice to replace and supersede Notice to Members 03-10, which discussed the establishment of Consultative Committees. This Notice repeats the information in Notice to Members 03-10, and clarifies that materials arising out of staff discussions with Consultative Committee members are protected from discovery in NASD proceedings.

 

Questions concerning this Notice to Members may be directed to Jeffrey S. Holik, Senior Vice President, Member Regulation, at (202) 728-8387; or Katherine A. Malfa, Vice President, Enforcement, at (202) 974-2853.