NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 2711 to codify NASD's existing interpretive guidance relating to certain provisions of the rule and to make several non-substantive, technical changes to clarify the rule's intended meaning.
| Text of Proposed Rule Change | (PDF 104 KB) |
| Response to Comments | (PDF 365 KB) |
| Notice of Filing and Immediate Effectiveness | (PDF 64 KB) |
