Release of Disciplinary Information

The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., is filing with the SEC a proposed rule change to amend NASD IM-8310-2 to provide for the publication of all final, litigated decisions issued by the Office of Hearing Officers, the National Adjudicatory Council and the NASD Board, regardless of sanctions imposed.

DateTitleFormat - SizeStatus
2/15/2000Text of Proposed Rule ChangePDF - 27.16 KB
4/11/2000Federal Register NoticePDF - 125.41 KB
5/22/2000Approval OrderPDF - 117.2 KB