Notice to Members 98-04
Reminder of Members' Obligations to Comply with Rule15c2-4
NASD Regulation, Inc. (NASD RegulationSM) requests that members review their compliance procedures with respect to Securities and Exchange (SEC) Rule 15c2-4, which is applicable to public and private offerings of securities distributed on a best-efforts basis. In order to assist members in their review, attached to this Notice is Notice to Members 84-7, which sets forth in questions-and-answer format interpretations of the SEC with respect to Rule 15c2-4.
|Date||Title||Format - Size|
|11/20/2015||Notice to Members 98-004 - 98-004 Attachment||PDF - 777.65 KB|