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SR-NASD-2004-171 |
Amendments to Rule 2340 (Customer Account Statements)
NASD has filed with the SEC a proposed rule change to amend NASD Rule 2340 to require that account statements include a statement that advises each customer to promptly report any inaccuracy or discrepancy in that person's account to his or her brokerage firm and clearing firm (where these are different firms) and to re-confirm any oral communications in writing.| Text of Proposed Rule Change PDF 49 KB |
| Amendment No. 1 to Proposed Rule Change PDF 25 KB |
| Federal Register Notice PDF 54 KB |
| Approval Order PDF 62 KB |
| Correction to Approval Order PDF 54 KB |
