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SR-NASD-2003-013 |
Proposed Interpretive Material Regarding the Use of Investment Analysis Tools
NASD has filed with the SEC a proposed rule change to adopt new Interpretive Material ("IM") to NASD Rule 2210(d)(2)(N) to allow NASD member firms to use certain investment analysis tools that show the probability that investing in specific securities or mutual funds may produce a desired result.
| Text of Proposed Rule Change PDF 55 KB |
| Amendment No. 1 to Proposed Rule Change PDF 56 KB |
| Federal Register Notice PDF 54 KB |
| Response to Comments and Amendment No. 2 PDF 49 KB |
| Amendment No. 3 to Proposed Rule Change PDF 23 KB |
