SR-NASD-2006-011

Proposed Amendments to Rule 2211 Regarding Principal Pre-Use Approval of Member Correspondence

NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to require principal pre-use approval of member correspondence to 25 or more existing retail customers within a 30 calendar-day period.

Text of Proposed Rule Change (PDF 223 KB)
Amendment No. 1 to Proposed Rule Change (PDF 224 KB)
Federal Register Notice (PDF 63 KB)
Extension No. 1 (PDF 40 KB)
Extension No. 2 (PDF 20 KB)
Amendment No. 2 to Proposed Rule Change (PDF 24 KB)
Extension No. 3 (PDF 20 KB)
Approval Order (PDF 66 KB)