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SR-NASD-2004-133 |
Proposed Amendments to Rule 9522
NASD has filed with the SEC a proposed rule change to amend NASD Rule 9522 to permit NASD's Department of Member Regulation ("Member Regulation") to approve MC-400 Applications of disqualified persons whose functions will be purely clerical and/or ministerial in nature.| Text of Proposed Rule Change PDF 54 KB |
| Federal Register Notice PDF 65 KB |
| Approval Order PDF 52 KB |
