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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 |
