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Up to Jun 16 2011Jun 17 2011 onwards

2230. Confirmations

This rule is no longer applicable. NASD Rule 2230 has been superseded by FINRA Rule 2232. Please consult the appropriate FINRA Rule.

A member at or before the completion of each transaction with a customer shall give or send to such customer written notification disclosing (a) whether such member is acting as a broker for such customer, as a dealer for his own account, as a broker for some other person, or as a broker for both such customer and some other person; and (b) in any case in which such member is acting as a broker for such customer or for both such customer and some other person, either the name of the person from whom the security was purchased or to whom it was sold for such customer and the date and time when such transaction took place or the fact that such information will be furnished upon the request of such customer, and the source and amount of any commission or other remuneration received or to be received by such member in connection with the transaction.
Selected Notices: 89-77, 90-11, 90-63.

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