Regulation
SR-NASD-2002-162
Proposed Supervisory Control Amendments
NASD has filed with the SEC a proposed rule change to adopt new Rule 3012 and amend other rules regarding the supervisory and supervisory control procedures of member firms.
| Text of Proposed Rule Change | (PDF 204 KB) |
| Federal Register Notice | (PDF 49 KB) |
| Federal Register Notice of Extension of Comment Period | (PDF 35 KB) |
| Extension Letter | (PDF 5 KB) |
| Extension No. 2 | (PDF 5 KB) |
| Third Extension Letter | (PDF 5 KB) |
| Amendment No. 1 to Proposed Rule Change | (PDF 158 KB) |
| Amendment No. 2 to Proposed Rule Change | (PDF 6 KB) |
| Federal Register Notice of Filing of Amendments Nos. 1 and 2 | (PDF 77 KB) |
| Amendment No. 3 to Proposed Rule Change | (PDF 54 KB) |
| Extension No. 4 | (PDF 5 KB) |
| Extension No. 5 | (PDF 5 KB) |
| Extension No. 7 | (PDF 5 KB) |
| Eighth Extension Letter | (PDF 10 KB) |
| Extension No. 6 | (PDF 5 KB) |
| Ninth Extension Letter | (PDF 10 KB) |
| Approval Order | (PDF 10 KB) |