The provisions of the three quote rule apply to transactions in foreign securities executed on a foreign exchange for member customers.
<p>Application of Rule 2320(g) and Rule 3110(b) to quotations displayed in the Electronic Quotation Service (prior to the adoption of proposed Rule 6630).</p>
<p>Priced quotations by an ECN or ATS displayed on the OTC Bulletin Board are considered priced quotations for purposes of compliance with Rule 2320(g)(1).</p>
Staff clarification of <i>NASD Notice to Members 96-60</i> regarding a member's suitability obligation under NASD Rule 2310.
Staff clarification of <em>NASD Notice to Members 96-60</em> regarding a member's suitability obligation under NASD Rule 2310.
Staff clarification of <em>NASD Notice to Members 96-60</em> regarding a member's suitability obligation under NASD Rule 2310 with respect to certain investment company transactions.
Application of Suitability and Supervision requirements to recommendations of new variable annuity bonus products to existing variable annuity bonus products customers.
Application of <em>NASD Notice to Members 90-52</em> to member firms that do not recommend securities transactions to their customers, but limit their business to accepting unsolicited orders from customers (under former Article III, Section 2, now Rule 2310).
Suitability responsibilities of a discount broker/dealer when a customer is trading in options contracts (under former Article III, Section 2, now Rule 2310).
Rule 2220 was intended to apply only to standardized options; therefore, advertisements, educational material and sales literature regarding conventional options need not be submitted to the Department for pre-use review and approval. However, advertisements, educational material and sales literature regarding conventional options remain subject to the general standards in both Rules 2210 and 2220 that prohibit untrue, false or misleading statements.