Notice to Members 98-04

Reminder of Members' Obligations to Comply with Rule15c2-4

NASD Regulation, Inc. (NASD RegulationSM) requests that members review their compliance procedures with respect to Securities and Exchange (SEC) Rule 15c2-4, which is applicable to public and private offerings of securities distributed on a best-efforts basis. In order to assist members in their review, attached to this Notice is Notice to Members 84-7, which sets forth in questions-and-answer format interpretations of the SEC with respect to Rule 15c2-4.

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DateTitleFormat - Size
Notice to Members 98-004 - 98-004 AttachmentPDF - 777.65 KB