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SR-NASD-2002-171 |
Amendment to NASD's Minor Rule Violation Plan
NASD has filed with the SEC a proposed rule change to amend NASD Interpretative Material 9216 (IM-9216) (Violations Appropriate for Disposition Under the Plan Pursuant to SEC Rule 19d-1(c)(2)) to clarify that a failure to timely file annual audit reports is eligible for disposition under NASD's Minor Rule Violation Plan ("MRVP" or "the Plan").| Text of Proposed Rule Change PDF 36 KB |
| Approval Order PDF 40 KB |
