SR-NASD-1998-052
Review of Incoming, Non-electronic Correspondence with the Public
NASDR has filed with the SEC a proposed rule change to amend National Association of Securities Dealers, Inc. Rule 3010 to state that firms should review incoming, non-electronic correspondence to identify customer complaints and funds.
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 56.95 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 4.92 KB | |
| Amendment No. 2 to Proposed Rule Change | PDF - 22.57 KB | |
| Extension Letter | PDF - 2.32 KB | |
| Federal Register Notice | PDF - 25.14 KB | |
| Approval Order | PDF - 36.53 KB |