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.
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 222.06 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 223.53 KB | |
| Federal Register Notice | PDF - 62.4 KB | |
| Extension No. 1 | PDF - 39.72 KB | |
| Extension No. 2 | PDF - 19.64 KB | |
| Amendment No. 2 to Proposed Rule Change | PDF - 24.11 KB | |
| Extension No. 3 | PDF - 19.64 KB | |
| Approval Order | PDF - 65.86 KB |