Technical Amendments to Interpretative Material 3130 (IM-3130)

NASD has filed with the SEC ") a proposed rule change to amend Interpretive Material 3130 ("IM-3130") to change references to "paragraphs (b)(2) and (c)(2)" of Rules 3030 and 3031 to "paragraphs (c)(2) and (d)(2)" in IM-3130(a), (c), (d), and (e); and change references to "the Association" to "NASD" in IM-3130, thereby conforming the rule language in IM-3130 to the rule language in Rules 3130 and 3131, as recently amended.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 28.48 KB
Approval OrderPDF - 40.41 KB