NASD Notice to Members 99-51 - June 1999

NASD Regulation Requests Comment on Requiring Chief Compliance Officers to be Registered; Comment Period Expires July 16, 1999

Executive Summary

The Board of Directors of NASD Regulation, Inc. (NASD Regulation®) is seeking comment on whether the National Association of Securities Dealers, Inc. (NASD®) rules should be amended to require the registration of chief compliance officers.

 

Questions concerning this Notice may be directed to Mary M. Dunbar, Assistant General Counsel, Office of General Counsel, NASD Regulation, at (202) 728- 8252.