Approval Of Amendments That Require Members To Provide Information To Other Regulators For Regulatory Purposes

Executive Summary

The Securities and Exchange Commission (SEC) has approved amendments to NASD^® Rule 8210 (formerly Article IV, Section 5 of the NASD Rules of Fair Practice) to require members and their associated persons to provide information in connection with investigations being conducted by other regulatory organizations and to NASD Rules 8210 and 8220 (formerly Article IV, Section 5 of the NASD Rules of Fair Practice) to conform the language in the Rules to definitions and relevant titles of the Code of Procedure. The amendments are effective immediately.

Questions regarding this Notice should be directed to Joseph Alotto, Market Surveillance, NASD Regulation, Inc., at (301) 590-6845.