Regulation
SR-NASD-2000-039
Amendment to Schedule A of the NASD By-Laws for the Timely Filing of Reports, and Amendments to IM-9216, Minor Rule Violation Plan
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposal to amend Schedule A of the NASD By-Laws for the timely filing of reports and to amend NASD IM-9216 to expand the NASD's Minor Rule Violation Plan pursuant to SEC Rule 19d-1.
| Text of Proposed Rule Change | (PDF 66 KB) |
| Amendment No. 1 to Proposed Rule Change | (PDF 12 KB) |
| Amendment No. 2 to Proposed Rule Change | (PDF 6 KB) |
| Federal Register Notice | (PDF 136 KB) |
| Amendment No. 3 to Proposed Rule Change | (PDF 20 KB) |
| Approval Order | (PDF 39 KB) |
