Proposed Rule Change to Rule 1120

NASD has filed with the SEC proposed amendments to Rule 1120. Rule 1120 provides for a continuing education program for certain persons registered with the NASD. The proposed amendments would allow for NASD Regulation to require new programs as appropriate with customized training for various registration categories, with a supervisor's program being the first initiative.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 48.93 KB
Federal Register NoticePDF - 32.5 KB
Approval OrderPDF - 31.19 KB