SR-NASD-2004-171

Amendments to Rule 2340 (Customer Account Statements)

NASD has filed with the SEC a proposed rule change to amend NASD Rule 2340 to require that account statements include a statement that advises each customer to promptly report any inaccuracy or discrepancy in that person's account to his or her brokerage firm and clearing firm (where these are different firms) and to re-confirm any oral communications in writing.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 48.53 KB
Amendment No. 1 to Proposed Rule ChangePDF - 24.74 KB
Federal Register NoticePDF - 53.28 KB
Approval OrderPDF - 61.52 KB
Correction to Approval OrderPDF - 53.8 KB