SR-NASD-2006-011

Proposed Amendments to Rule 2211 Regarding Principal Pre-Use Approval of Member Correspondence

NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to require principal pre-use approval of member correspondence to 25 or more existing retail customers within a 30 calendar-day period.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 222.06 KB
Amendment No. 1 to Proposed Rule ChangePDF - 223.53 KB
Federal Register NoticePDF - 62.4 KB
Extension No. 1PDF - 39.72 KB
Extension No. 2PDF - 19.64 KB
Amendment No. 2 to Proposed Rule ChangePDF - 24.11 KB
Extension No. 3PDF - 19.64 KB
Approval OrderPDF - 65.86 KB