HomeRules & RegulationEnforcementEducation & ProgramsRegulatory SystemsArbitration & MediationInvestor Information
FINRA Rules | Notices | Rule Filings | Member Alerts | Publications & Guidance | Issue Center | Compliance Tools
spacer image
spacer image
spacer image spacer image spacer image spacer image spacer image spacer image spacer image spacer image spacer image
 
Search
Powered by Google

Rule Filings

spacer image LOGO

SR-NASD-2003-109

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(b) of Schedule A to the NASD By-Laws (hereinafter referred to as "Section 4(b)") to: (1) increase the $10.00 charge for each set of fingerprints submitted by a member to NASD for processing to $13.00; and (2) establish a $13.00 charge to be paid to NASD for posting each set of fingerprint results processed by another self-regulatory organization ("SRO") on the Central Registration Depository ("CRD" or "Web CRD").
 
Text of Proposed Rule Change PDF 31 KB
Amendment No. 1 to Proposed Rule Change PDF 6 KB
Approval Order PDF 45 KB