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.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 27.16 KB
Federal Register NoticePDF - 125.41 KB
Approval OrderPDF - 117.2 KB