NASD Notice to Members 07-02 - January 2007

SEC Approves Amendment to Interpretive Material 2210-4 (Limitations on Use of NASD’s Name) Requiring Firms that Refer to their NASD Membership on a Web Site to Provide a Hyperlink to www.nasd.com; Effective Date: July 7, 2007

Executive Summary

On November 9, 2006, the Securities and Exchange Commission (SEC) approved an amendment to Interpretive Material 2210-4 (IM-2210-4), requiring a member firm, or a person associated with a member firm, that refers to its membership in NASD on its Web site to hyperlink to NASD’s home page, www.finra.org.1

IM 2210-4, as amended, is set forth in Attachment A.

The amendment becomes effective July 7, 2007.

Questions concerning this Notice may be directed to Gary L. Goldsholle, Vice President and Associate General Counsel, Office of General Counsel (OGC), at (202) 728-8104; or James L. Eastman, Assistant General Counsel, OGC, at (202) 728-6961.

 

The effective date has been extended to October 31, 2007.

1See Exchange Act Release No. 54740 (November 9, 2006), 71 FR 67184 (November 20, 2006) (File No. SR-NASD-2006-073) (Order Approving Proposed Rule Change and Amendment No. 1 thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 to Amend NASD Interpretive Material 2210-4 to Require Certain Member Firms to Provide a Hyperlink to the NASD’s Internet Home Page) (Approval Order).