View Whole SectionText only Print Print Manager Link
Previous Next
  Versions
(2 versions)
 
Feb 17 2009 - Dec 13 2009Dec 14 2009 onwards

2357. Communications with the Public and Customers Concerning Index Warrants, Currency Index Warrants and Currency Warrants

The provisions of Rule 2220 shall be applicable to communications to customers regarding index warrants, currency index warrants, or currency warrants. The term "option" as used therein shall be deemed to include such warrants for purposes of this Rule and the term "The Options Clearing Corporation" shall be deemed to mean the issuer of such warrants.
Amended by SR-FINRA-2009-078 eff. Dec. 14, 2009.
Amended by SR-FINRA-2008-032 eff. Feb. 17, 2009.
Adopted by SR-NASD-95-37 eff. Sept. 28, 1995.

Selected Notice to Members: 95-82, 08-57, 08-78.

Previous Next