Proposed Rule Relating to Standards for Individual Correspondence

NASDR has filed with the SEC a proposed rule change to Rule 2210 of the Conduct Rules of the National Association of Securities Dealers, Inc. to require that written or electronic communications prepared for a single customer be subject to the general standards and those specific standards of Rule 2210 that prohibit misleading statements.

DateTitleFormat - SizeStatus
4/2/1998Text of Proposed Rule ChangePDF - 117.05 KB
4/29/1998Amendment No. 1 to Proposed Rule ChangePDF - 2.83 KB
8/4/1998Amendment No. 2 to Proposed Rule ChangePDF - 7.22 KB
5/8/1998Federal Register NoticePDF - 52.65 KB
9/21/1998Federal Register NoticePDF - 11.67 KB
9/3/1998Approval OrderPDF - 26.98 KB