NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend NASD Code of Procedure Rule 9522(e)(2) to expressly describe those instances in which the Department of Member Regulation may approve an MC-400 application for relief from NASD eligibility requirements.
| Text of Proposed Rule Change | (PDF 27 KB) |
| Amendment No. 1 to Proposed Rule Change | (PDF 8 KB) |
| Approval Order | (PDF 40 KB) |