NASD Notice to Members 05-71 - October 2005

SEC Approves NASD Interpretive Material to Rule 9216 regarding NASD's MRVP; Effective Date: November 14, 2005

Executive Summary

On August 18, 2005, the Securities and Exchange Commission (SEC) approved amendments to NASD Interpretive Material 9216-2 (IM-9216-2), regarding NASD's MRVP.¹ The new rule text is contained in Attachment A and is effective on November 14, 2005.

 

Questions concerning this Notice may be directed to Shirley H. Weiss, Associate General Counsel, Office of General Counsel, Regulatory Policy and Oversight, at (202) 728-8844.

 

¹ Exchange Act Rel. No. 52294 (Aug. 18, 2005), 70FR 49700 (Aug. 24, 2005) (SR-NASD-2004-025).