Regulation
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
