Proposed Rule Change to Amend NASD Rules 1021 and 1031 Regarding Registration Requirements

FINRA (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rules 1021 and 1031 to permit members to maintain the registrations of those persons whose association with such members is for bona fide business purposes, provided that such persons pass the appropriate, qualifying examination requirements, or are granted an exemption from such requirements.

This rule filing has been withdrawn.

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Withdrawal of Proposed Rule ChangePDF - 22.98 KB