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SR-NASD-2003-192 |
Proposed Rule Change to Section 4 of Schedule A to the NASD By-Laws
NASD has filed with the SEC a proposed rule change to amend Section 4 of Schedule A to the NASD By-Laws by establishing a late fee to be assessed against NASD members that fail timely to report on an initial Form U5, an amendment to a Form U5, or an amendment to a Form U4 a new disclosure event or a change in the status of a previously reported disclosure event.
| Text of proposed rule change PDF 40 KB |
| Notice of Filing and Immediate Effectiveness PDF 52 KB |
