This rule is no longer applicable. NASD Rule 2841 has been superseded by FINRA Rule 2351. Please consult the appropriate FINRA Rule.
(a) Applicability — This Rule 2840 Series shall be applicable to the extent appropriate unless otherwise stated herein, to the conduct of accounts, the execution of transactions, and the handling of orders in exchange-listed stock index warrants, currency index warrants, and currency warrants by members who are not members of the exchange on which the warrant is listed or traded.
(b) Except to the extent that specific provisions in this Rule Series govern, or unless the context otherwise requires, the provisions of the By-Laws, Rules of the Association and all other interpretations and policies shall also be applicable to transactions in index warrants, currency index warrants, and currency warrants.
(c) The Rules in this Rule 2840 Series are not applicable to stock index warrants, currency index warrants, and currency warrants listed on national securities exchanges prior to September 28, 1995.
Amended by SR-NASD-2005-087 eff. Aug. 1, 2006.
Adopted by SR-NASD-95-37 eff. Sept. 28, 1995.
Selected Notice: 95-82.