NASD Notice to Members 04-15 - March 2004

SEC Approves Amendments to NASD Rules Concerning Member Participation in the National Do-Not-Call Registry; Effective Date: March 31, 2004

Executive Summary

On January 12, 2004, the Securities and Exchange Commission (SEC or Commission) approved amendments to NASD Rule 2212 (Telemarketing) and Rule 3110 (Books and Records). These amendments set forth NASD's requirement that member firms participate in the Federal Trade Commission’s (FTC) national do-not-call registry. The amendments will become effective on March 31, 2004.

 

NASD Rule 2212, Telemarketing, and NASD Rule 3110, Books and Records, as amended, are set forth in Attachment A.

Questions concerning this Notice may be directed to Gary L. Goldsholle, Associate Vice President and Associate General Counsel, Office of General Counsel, Regulatory Policy and Oversight, NASD, at (202) 728-8104.