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.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 117.05 KB
Amendment No. 1 to Proposed Rule ChangePDF - 2.83 KB
Amendment No. 2 to Proposed Rule ChangePDF - 7.22 KB
Federal Register NoticePDF - 52.65 KB
Federal Register NoticePDF - 11.67 KB
Approval OrderPDF - 26.98 KB