Notice to Members on the Suitability Rule and Online Communications

NASD Regulation, Inc., has filed with the SEC a Notice to Members 01-23 reminding members that they have suitability obligations when they make recommendations to customers online.

DateTitleFormat - SizeStatus
3/18/2001Text of Proposed Rule ChangePDF - 73.94 KB
4/24/2001Approval OrderPDF - 64.88 KB