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SR-NASD-2006-036 |
Proposed Rule Change to Amend NASD Interpretive Material 3013
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Interpretive Material 3013 ("IM-3013") to clearly establish the timing with respect to the requirement to submit to the member's board of directors and audit committee a report that evidences certain processes that form the basis of a certification by the Chief Executive Officer ("CEO") under Rule 3013.
