Creation of a Separate Subsidiary to Administer Dispute Resolution Programs

NASDR has filed with the SEC a proposed rule change to create a dispute resolution subsidiary, NASD Dispute Resolution, Inc. ("NASD Dispute Resolution"), to handle dispute resolution programs; to adopt by-laws for such subsidiary; and to make conforming amendments to the Delegation Plan, the NASD Regulation By-Laws, and the Rules of the Association.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 241.5 KB
Federal Register NoticePDF - 85.82 KB
Correction to Federal Register NoticePDF - 7.95 KB
Extension LetterPDF - 2.68 KB
Extension No. 2PDF - 2.6 KB
Response to CommentsPDF - 26.34 KB
Approval OrderPDF - 35.1 KB