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.

DateTitleFormat - SizeStatus
10/31/2004Text of Proposed Rule ChangePDF - 48.53 KB
2/2/2005Amendment No. 1 to Proposed Rule ChangePDF - 24.74 KB
2/16/2005Federal Register NoticePDF - 53.28 KB
9/16/2006Approval OrderPDF - 61.52 KB
10/17/2006Correction to Approval OrderPDF - 53.8 KB