HomeRules & RegulationEnforcementEducation & ProgramsRegulatory SystemsArbitration & MediationInvestor Information
FINRA Rules | Notices | Rule Filings | Member Alerts | Publications & Guidance | Issue Center | Compliance Tools
spacer image
spacer image
spacer image spacer image spacer image spacer image spacer image spacer image spacer image spacer image spacer image
 
Search
Powered by Google

Rule Filings

spacer image LOGO

SR-NASD-2005-053

Proposed Rule Change to Delay Implementation Date of Revisions to the Series 4 Examination Program

NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to delay until no later than November 30, 2005 the implementation date of the recent revisions to the Limited Principal - Registered Options (Series 4) examination program.  NASD is not proposing any textual changes to the By-Laws, Schedules to the By-Laws, or Rules of NASD.
 
Text of Proposed Rule Change PDF 47 KB
Notice of Filing and Immediate Effectiveness PDF 60 KB