NASD Regulation, Inc. (NASD Regulation®) is proposing to amend the rules governing new member applications and applications for approval of a change in a member’s ownership, control, or operations. The text of the proposed amendments is included with this Notice to Members—Request For Comment (see Attachment A). A detailed explanation of the proposed rules follows in Attachment B.
Questions concerning this Notice to Members—Request For Comment may be directed to Mary M. Dunbar, Assistant General Counsel, Office of General Counsel, NASD Regulation, at (202) 728-8252; or to Jeffrey S. Holik, Director of Regulation Policy, Member Regulation, NASD Regulation, at (202) 728-8387.
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