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UNDISCLOSED SETTLEMENTS

2009 2008

In the Matter of the Application of Stratton Oakmont, Inc. For Review of Disciplinary Action Taken by NASD (Securities and Exchange Act of 1934 Rel. No. 38390 / March 12, 1997) at http://www.sec.gov/litigation/opinions/3438390.txt
  • NASD Notice to Members 86-36: Firm Agreements With Customers Not To Testify In NASD Proceedings, dated May 14, 1986, states that settlement agreements that preclude customers from testifying in NASD proceedings may violate applicable Rules. 
  • Also see NASD Notice to Members 95-87: Confidentiality Clauses In Settlement Agreements, which contains an acceptable version of a confidentiality clause.
  • NASD Notice to Members 04-44: Impermissible Confidentiality Provisions and Complaint Withdrawal Provisions in Settlement Agreements
  • NASD Notice to Members 04-43 Members' Use of Affidavits in Connection with Stipulated Awards and Settlements to Obtain Expungement of Customer Dispute Information under Rule 2130
  • NASD Conduct Rule 2370
  • NYSE Rule 352

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