SR-NASD-2006-044

Proposal to Adopt New IM-3060 to Require Members to Adopt Written Policies and Procedures Concerning Business Entertainment

NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt Interpretive Material ("IM") to NASD Rule 3060 to require members to adopt policies and procedures addressing business entertainment. 

Text of Proposed Rule Change (PDF 159 KB)
Amendment No. 1 to Proposed Rule Change (PDF 170 KB)
Amendment No. 2 to Proposed Rule Change (PDF 45 KB)
Federal Register Notice (PDF 106 KB)
Amendment No. 3 to Proposed Rule Change (PDF 141 KB)