Review of Incoming, Non-electronic Correspondence with the Public

NASDR has filed with the SEC a proposed rule change to amend National Association of Securities Dealers, Inc. Rule 3010 to state that firms should review incoming, non-electronic correspondence to identify customer complaints and funds.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 56.95 KB
Amendment No. 1 to Proposed Rule ChangePDF - 4.92 KB
Amendment No. 2 to Proposed Rule ChangePDF - 22.57 KB
Extension LetterPDF - 2.32 KB
Federal Register NoticePDF - 25.14 KB
Approval OrderPDF - 36.53 KB