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.
|Date||Title||Format - Size||Status|
|1/13/2003||Text of Proposed Rule Change||PDF - 54.96 KB|
|2/27/2003||Amendment No. 1 to Proposed Rule Change||PDF - 55.38 KB|
|4/2/2003||Federal Register Notice||PDF - 51.7 KB|
|12/2/2003||Response to Comments and Amendment No. 2||PDF - 48.44 KB|
|2/26/2004||Amendment No. 3 to Proposed Rule Change||PDF - 23 KB|