Proposed Rule Change Relating to Amendment to the Safe Harbor For Business Expansions

NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Interpretative Material 1011-1 (Safe Harbors for Business Expansions) ("IM-1011-1") to limit the types of violations of Rule 2110 (Standards of Commercial Honor and Principles of Trade) that would result in a member being ineligible to use the safe harbor for business expansions and to make certain technical changes.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 67.62 KB
Federal Register NoticePDF - 88.98 KB
Approval OrderPDF - 54.22 KB