NASD Notice to Members 98-081 - October 1998

NASD Regulation Requests Comment on Whether Some Rules Should be Repealed as Obsolete or Amended to Provide Institutional Customer Exception; Comment Period Expires November 30, 1998

Executive Summary

NASD Regulation, Inc. (NASD RegulationSM) is requesting comment from members and other interested persons as to whether any National Association of Securities Dealers, Inc. (NASD®) rules or By-Laws should be repealed because they are now obsolete or whether particular rules should distinguish between retail and institutional customers in their application.

 

The online version of this monthly Notices to Members edition varies from the printed version. This online version contains Special Notices to Members whereas the printed version did not include the Special Notices. Please be aware of this discrepancy in order to avoid confusion when comparing the two versions.