SR-NASD-2002-027

Proposed Rule Change to NASD Rule 3070

NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend NASD Rule 3070 regarding the reporting of criminal offenses of associated persons.

Text of Proposed Rule Change (PDF 30 KB)
Amendment No. 1 to Proposed Rule Change (PDF 9 KB)
Approval Order (PDF 35 KB)