Establishing Procedures to Enable NASD Regulation to Issue Temporary Cease and Desist Orders

NASDR has filed with the SEC a proposed rule change to create the Rule 9800 Series and to amend certain existing rules of the NASD that would establish procedures to enable NASD Regulation to issue temporary cease and desist orders. The proposed rule change also would grant NASD Regulation authority to take expedited disciplinary actions when temporary or permanent cease and desist orders are violated.

DateTitleFormat - SizeStatus
10/26/1998Text of Proposed Rule ChangePDF - 136.8 KB
12/15/1998Amendment No. 1 to Proposed Rule ChangePDF - 79.42 KB
12/21/1998Amendment No. 2 to Proposed Rule ChangePDF - 2.64 KB
5/14/1999Amendment No. 3 to Proposed Rule ChangePDF - 52.25 KB
2/23/1999Extension LetterPDF - 2.44 KB
4/8/1999Extension No. 2PDF - 2.46 KB
6/29/1999Third Extension LetterPDF - 2.46 KB
8/12/1999Extension No. 4PDF - 2.47 KB
12/30/1998Federal Register NoticePDF - 64.61 KB
8/16/2002Amendment No. 4 to Proposed Rule ChangePDF - 123.27 KB
4/14/2003Amendment No. 5 to Proposed Rule ChangePDF - 10.92 KB
6/4/2003Approval OrderPDF - 65.73 KB