Proposed Rule Change to Amend the Definition of Office of Supervisory Jurisdiction ("OSJ") in NASD Rule 3010(g)(1)

FINRA (f/k/a National Association of Securities Dealers, Inc. or "NASD") is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend the definition of office of supervisory jurisdiction ("OSJ") in NASD Rule 3010(g)(1) to exempt locations that solely conduct final approval of research reports.

DateTitleFormat - SizeStatus
8/30/2007Text of Proposed Rule ChangePDF - 69.43 KB
10/5/2007Federal Register NoticePDF - 65.96 KB
11/13/2007Approval OrderPDF - 56.08 KB