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.

DateTitleFormat - SizeStatus
1/22/1998Text of Proposed Rule ChangePDF - 48.93 KB
1/29/1998Federal Register NoticePDF - 32.5 KB
3/10/1998Approval OrderPDF - 31.19 KB