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SR-NASD-2004-95 |
Policy to Conduct Fingerprint-based Background Checks of NASD Employees and Independent Contractors
NASD has filed with the SEC a proposed rule change for a program to conduct fingerprint-based background checks of NASD employees and independent contractors in the State of New York ("New York State") and, as business need may dictate, a program to conduct fingerprint-based background checks of NASD employees and independent contractors outside of New York State.
| Text of Proposed Rule Change PDF 66 KB |
| Notice of Filing and Immediate Effectiveness PDF 65 KB |
