SR-NASD-2001-020
Notice to Members on the Suitability Rule and Online Communications
NASD Regulation, Inc., has filed with the SEC a Notice to Members 01-23 reminding members that they have suitability obligations when they make recommendations to customers online.
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 73.94 KB | |
| Notice of Filing and Immediate Effectiveness | PDF - 64.88 KB |