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Notice Rule

Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Interpretive Material to NASD Rule 3060 To Require Members To Adopt Policies and Procedures Addressing Business Entertainment

Registered Securities Associations, National Association of Securities Dealers (NASD)

Public Comments

View Received Comments

Last Reviewed or Updated: May 15, 2007

Resources

Notice Rule: SEC Issued Version (pdf 595.1 KB)

Notice Rule: Federal Register Version

Details

Public Comments Due

June 12, 2007

File Number

SR-NASD-2006-044

Rule Type

Notice

Release Number

34-55765

SEC Issue Date

May 15, 2007

Federal Register Publish Date

May 22, 2007

Document Citation

72 FR 28743

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Interpretive Material to NASD Rule 3060 To Require Members To Adopt Policies and Procedures Addressing Business Entertainment

Public Comments

Resources

Details

More in this Section

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Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Interpretive Material to NASD Rule 3060 To Require Members To Adopt Policies and Procedures Addressing Business Entertainment

Public Comments

Resources

Details