2280. Investor Education and Protection
This rule is no longer applicable. NASD Rule 2280 has been superseded by FINRA Rule 2267. Please consult the appropriate FINRA Rule.
(a) Each member shall, with a frequency of not less than once every calendar year, provide in writing to each customer the following items of information:
(1) NASD Regulation Public Disclosure Program Hotline Number;
(2) NASD Regulation Web Site Address; and
(3) A statement as to the availability to the customer of an investor brochure that includes information describing the Public Disclosure Program.
(b) Notwithstanding the requirement in paragraph (a) above, any member that does not carry customer accounts and does not hold customer funds or securities is exempt from the provisions of this Rule.
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Amended by SR-NASD-97-75 eff. Oct. 14, 1997. Adopted by SR-NASD-97-10 eff. Sept. 10, 1997. |