SR-NASD-2004-025
Amendments 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") to expand the list of violations eligible for disposition under NASD’s Minor Rule Violation Plan ("MRVP").
| Text of Proposed Rule Change | (PDF 46 KB) |
| Amendment No. 1 to Proposed Rule Change | (PDF 91 KB) |
| Amendment No. 2 to Proposed Rule Change | (PDF 226 KB) |
| Federal Register Notice | (PDF 66 KB) |
| Approval Order | (PDF 19 KB) |
