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SR-NASD-1999-046 |
Chief Compliance Officer Registration
NASDR has filed with the SEC a proposed rule change to amend Rule 1022 of the National Association of Securities Dealers, Inc. to require the registration of chief compliance officers.| Text of Proposed Rule Change PDF 50 KB |
| Amendment No. 1 to Proposed Rule Change PDF 6 KB |
| Amendment No. 2 to Proposed Rule Change PDF 46 KB |
| Federal Register Notice PDF 136 KB |
| Amendment No. 3 to Proposed Rule Change PDF 18 KB |
| Revised Amendment No. 3 to Proposed Rule Change PDF 22 KB |
| Approval Order PDF 44 KB |
