Comments on NASD Notice to Members 05-25

To Whom It May Concern:

 

In the 05-25 Notice to Members, it is noted that scripted or partially scripted radio or television shows hosted by registered reps would be subject to the proposed rule.  In the event that there were only an outline of topics to be covered on a show, rather than a “scripted appearance” as defined in the notice, would pre-filing still be required?

 

Bindi R. Swammi

Communications Compliance Officer

Piper Jaffray

800 Nicollet Mall

Mailstop J09S05

Minneapolis, MN  55402

Phone:  612-303-6923

Fax:         612-303-6295

 

Bindi.R.Swammi@pjc.com