This rule is no longer applicable. NASD Rule 10306 has been superseded by FINRA Rule 10306. Please consult the appropriate FINRA Rule.
This Code will be superseded by the Customer Code (Rule 12000 Series) and the Industry Code (Rule 13000 Series) on April 16, 2007, for claims filed on or after that date. This Code will remain in effect, however, for cases filed before April 16, 2007.
Amended by SR-NASD-2003-164 eff. Aug. 16, 2004.
Amended by SR-NASD-2001-21 eff. Nov. 19, 2001.
Selected Notices: 01-70, 04-53.