SR-NASD-2002-112

Proposed Amendments to Rule 3070 Requiring Members To File Copies Of Criminal and Civil Complaints and Arbitration Claims with NASD

NASD has filed with the SEC a proposed rule change to amend NASD Rule 3070 to require members to file with NASD copies of certain criminal and civil complaints and arbitration claims.

Text of proposed rule change (PDF 33 KB)
Amendment No. 1 to Proposed Rule Change (PDF 37 KB)
Federal Register Notice (PDF 45 KB)
Extension Letter (PDF 5 KB)
Response to Comments (PDF 19 KB)
Approval Order (PDF 45 KB)