Proposed Change to NASD Rules to Eliminate the Requirement for Personal Service of Decisions in Cases Involving Bars and Expulsions

NASDR has filed with the SEC a proposed rule change to amend Rules 9269 and 9360 of the National Association of Securities Dealers, Inc. to eliminate the requirement for personal service of decisions in cases involving bars and expulsions. NASD Regulation is also filing, concurrently, related proposed rule changes in File No. SR-NASD-1998-057.

Please review SR-NASD-1998-057 for:

  • Amendment No. 6 to proposed rule change
  • First Extension Letter
  • Second Extension Letter
  • Third Extension Letter 

Note: This rule filing was amended only three times. There are no amendment numbers 2, 3, or 4.