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SR-NASD-2000-068 |
Proposed Rule Change to Amend Uniform Practice Code Rule 11870(e)
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend NASD Uniform Practice Code Rule 11870(e) to require that following the validation of a transfer instruction, the carrying member must complete the transfer of customer account(s) to the receiving member within three business days instead of four business days.
| Text of Proposed Rule Change PDF 22 KB |
| Approval Order PDF 22 KB |
