NASD Notice to Members 04-32 - April 2004

SEC Approves Amendments to Require Quarterly Review and Update of Executive Representative Contact Information; Effective Date: May 14, 2004

Executive Summary

On March 29, 2004, the Securities and Exchange Commission (SEC) approved a rule change to require members to review and, if necessary, update their executive representative designation and contact information on a quarterly basis. New Rule 1150 is set forth in Attachment A. The rule requirements are effective as of Friday, May 14, 2004.

 

Questions regarding this Notice may be directed to Grace Yeh, Office of General Counsel, Regulatory Policy and Oversight, at (202) 728-6939.