SR-NASD-1998-052

Review of Incoming, Non-electronic Correspondence with the Public

NASDR has filed with the SEC a proposed rule change to amend National Association of Securities Dealers, Inc. Rule 3010 to state that firms should review incoming, non-electronic correspondence to identify customer complaints and funds.

Text of Proposed Rule Change (PDF 56 KB)
Amendment No. 1 to Proposed Rule Change (PDF 5 KB)
Amendment No. 2 to Proposed Rule Change (PDF 23 KB)
Extension Letter (PDF 3 KB)
Federal Register Notice (PDF 26 KB)
Approval Order (PDF 37 KB)