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SR-NASD-2004-121 |
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") to include failure to timely submit amendments to the Form U5, as required by Article V, Section 3(a) of the NASD By-Laws.| Text of Proposed Rule Change PDF 70 KB |
| Amendment No. 1 to Proposed Rule Change PDF 72 KB |
| Amendment No. 2 to Proposed Rule Change PDF 20 KB |
| Federal Register Notice PDF 60 KB |
