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SR-NASD-2002-162 |
Proposed Supervisory Control Amendments
NASD has filed with the SEC a proposed rule change to adopt new Rule 3012 and amend other rules regarding the supervisory and supervisory control procedures of member firms.| Text of Proposed Rule Change PDF 204 KB |
| Federal Register Notice PDF 49 KB |
| Federal Register Notice of Extension of Comment Period PDF 35 KB |
| Extension Letter PDF 5 KB |
| Extension No. 2 PDF 5 KB |
| Third Extension Letter PDF 5 KB |
| Amendment No. 1 to Proposed Rule Change PDF 158 KB |
| Amendment No. 2 to Proposed Rule Change PDF 6 KB |
| Federal Register Notice of Filing of Amendments Nos. 1 and 2 PDF 77 KB |
| Amendment No. 3 to Proposed Rule Change PDF 54 KB |
| Extension No. 4 PDF 5 KB |
| Extension No. 5 PDF 5 KB |
| Extension No. 7 PDF 5 KB |
| Extension No. 6 PDF 5 KB |
| Eighth Extension Letter PDF 10 KB |
| Ninth Extension Letter PDF 10 KB |
| Approval Order PDF 10 KB |
