Proposed Rule Change to Amend Uniform Practice Code Rule 11870(c) and Rule 11870(d)

NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend NASD Uniform Practice Code Rules 11870(c) and 11870(d) to expedite the transfer of customer accounts that contain proprietary or third party products (e.g., mutual funds or money market funds) that the receiving member cannot receive or carry.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 38.28 KB
Approval OrderPDF - 44.1 KB