SR-NASD-1999-046

Chief Compliance Officer Registration

NASDR has filed with the SEC a proposed rule change to amend Rule 1022 of the National Association of Securities Dealers, Inc. to require the registration of chief compliance officers.

DateTitleFormat - SizeStatus
9/16/1999Text of Proposed Rule ChangePDF - 49.76 KB
10/28/1999Amendment No. 1 to Proposed Rule ChangePDF - 5.16 KB
12/1/2000Amendment No. 2 to Proposed Rule ChangePDF - 10.28 KB
1/4/2001Federal Register NoticePDF - 135.19 KB
5/10/2001Amendment No. 3 to Proposed Rule ChangePDF - 17.48 KB
6/14/2001Revised Amendment No. 3 to Proposed Rule ChangePDF - 21.5 KB
6/26/2001Approval OrderPDF - 43.16 KB