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SR-NASD-1998-018 |
Qualified Immunity in Arbitration Proceedings for Statements Made on Forms U-4 and U-5
NASDR has filed with the SEC a proposed rule change to add a new Membership Rule that would provide members of the National Association of Securities Dealers, Inc. with a qualified immunity in arbitration proceedings for statements made in good faith in certain disclosures filed with the NASD on Forms U-4 and U-5, the uniform registration and termination notices for registered persons.
| Withdrawal of proposed rule change PDF 79 KB |
