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Notice Rule

Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc. to NASD Rule 4200 to Clarify the Treatment of Certain Non-Preferential, Ordinary-Course Payments

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

Last Reviewed or Updated: June 22, 2004

Resources

Notice Rule: SEC Issued Version (pdf 148.24 KB)

Notice Rule: Federal Register Version

Details

Public Comments Due

July 20, 2004

File Number

SR-NASD-2004-086

Rule Type

Notice

Release Number

34-49903

SEC Issue Date

June 22, 2004

Federal Register Publish Date

June 29, 2004

Document Citation

69 FR 38941

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc. to NASD Rule 4200 to Clarify the Treatment of Certain Non-Preferential, Ordinary-Course Payments

Resources

Details

More in this Section

Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc. to NASD Rule 4200 to Clarify the Treatment of Certain Non-Preferential, Ordinary-Course Payments

Resources

Details