Proposed Rule Relating to Standards for Individual Correspondence
NASDR has filed with the SEC a proposed rule change to Rule 2210 of the Conduct Rules of the National Association of Securities Dealers, Inc. to require that written or electronic communications prepared for a single customer be subject to the general standards and those specific standards of Rule 2210 that prohibit misleading statements.
Title | Format - Size | Status |
---|---|---|
Text of Proposed Rule Change | PDF - 117.05 KB | |
Amendment No. 1 to Proposed Rule Change | PDF - 2.83 KB | |
Amendment No. 2 to Proposed Rule Change | PDF - 7.22 KB | |
Federal Register Notice | PDF - 52.65 KB | |
Federal Register Notice | PDF - 11.67 KB | |
Approval Order | PDF - 26.98 KB |