Proposed Rule Change to Rule 9514

NASD has filed with the SEC a proposed change to Rule 9514 to change the composition of the Hearing Panel for proceedings under the Rule 9510 Series in which NASD Regulation seeks to suspend or cancel the membership of a member or the registration of a person for failure to comply with an arbitration award or a settlement agreement related to an NASD arbitration or mediation.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 26.4 KB
Amendment No. 1 to Proposed Rule ChangePDF - 3.32 KB
Federal Register NoticePDF - 27.09 KB
Approval OrderPDF - 26.97 KB