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SR-NASD-2004-100 |
Amendments to the Rule 9600 Series; Filed for Immediate Effectiveness
NASD has filed with the SEC a proposed rule change to amend the NASD Rule 9600 Series to permit a Waiver Subcommittee of the National Adjudicatory Council ("NAC") to affirm, modify, or reverse a decision of NASD's Department of Member Regulation ("Department") denying a request for a waiver from a required qualifications examination pursuant to Rule 1070.| Text of Proposed Rule Change PDF 77 KB |
| Amendment No. 1 to Proposed Rule Change PDF 19 KB |
| Notice of Filing and Immediate Effectiveness PDF 65 KB |
