SR-NASD-2003-013

Proposed Interpretive Material Regarding the Use of Investment Analysis Tools

NASD has filed with the SEC a proposed rule change to adopt new Interpretive Material ("IM") to NASD Rule 2210(d)(2)(N) to allow NASD member firms to use certain investment analysis tools that show the probability that investing in specific securities or mutual funds may produce a desired result.

DateTitleFormat - SizeStatus
1/13/2003Text of Proposed Rule ChangePDF - 54.96 KB
2/27/2003Amendment No. 1 to Proposed Rule ChangePDF - 55.38 KB
4/2/2003Federal Register NoticePDF - 51.7 KB
12/2/2003Response to Comments and Amendment No. 2PDF - 48.44 KB
2/26/2004Amendment No. 3 to Proposed Rule ChangePDF - 23 KB