Proposed Rule Change to Amend NASD Rule 2370

NASD has filed with the SEC a proposed rule change to amend Rule 2370 to exempt certain types of permissible lending arrangements from the rule's notice and approval requirements and also to indicate that the scope of the rule is limited to lending arrangements between registered persons and their customers, rather than any customer of the firm.

DateTitleFormat - SizeStatus
1/8/2004Text of Proposed Rule ChangePDF - 38.11 KB
1/23/2004Federal Register NoticePDF - 44.95 KB
2/25/2004Approval OrderPDF - 40.2 KB