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Notice Rule

Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASD Rule 3013 and Accompanying Interpretive Material 3013

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

Public Comments

View Received Comments

Last Reviewed or Updated: Aug. 17, 2007

Resources

Notice Rule: SEC Issued Version (pdf 59.3 KB)

Notice Rule: Federal Register Version

Details

Public Comments Due

Sept. 14, 2007

File Number

SR-NASD-2007-049

Rule Type

Notice

Release Number

34-56285

SEC Issue Date

Aug. 17, 2007

Federal Register Publish Date

Aug. 24, 2007

Document Citation

72 FR 48715

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASD Rule 3013 and Accompanying Interpretive Material 3013

Public Comments

Resources

Details

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Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASD Rule 3013 and Accompanying Interpretive Material 3013

Public Comments

Resources

Details