SR-NASD-1999-046
Chief Compliance Officer Registration
NASDR has filed with the SEC a proposed rule change to amend Rule 1022 of the National Association of Securities Dealers, Inc. to require the registration of chief compliance officers.
| Text of Proposed Rule Change | (PDF 50 KB) |
| Amendment No. 1 to Proposed Rule Change | (PDF 6 KB) |
| Amendment No. 2 to Proposed Rule Change | (PDF 46 KB) |
| Federal Register Notice | (PDF 136 KB) |
| Amendment No. 3 to Proposed Rule Change | (PDF 18 KB) |
| Revised Amendment No. 3 to Proposed Rule Change | (PDF 22 KB) |
| Approval Order | (PDF 44 KB) |
