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.

DateTitleFormat - SizeStatus
7/23/1998Text of Proposed Rule ChangePDF - 56.95 KB
8/24/1998Amendment No. 1 to Proposed Rule ChangePDF - 4.92 KB
11/12/1998Amendment No. 2 to Proposed Rule ChangePDF - 22.57 KB
11/2/1998Extension LetterPDF - 2.32 KB
9/3/1998Federal Register NoticePDF - 25.14 KB
12/7/1998Approval OrderPDF - 36.53 KB