Amendment to Schedule A of the NASD By-Laws for the Timely Filing of Reports, and Amendments to IM-9216, Minor Rule Violation Plan

The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposal to amend Schedule A of the NASD By-Laws for the timely filing of reports and to amend NASD IM-9216 to expand the NASD's Minor Rule Violation Plan pursuant to SEC Rule 19d-1.

DateTitleFormat - SizeStatus
6/20/2000Text of Proposed Rule ChangePDF - 65.3 KB
9/1/2000Amendment No. 1 to Proposed Rule ChangePDF - 11.02 KB
9/19/2000Amendment No. 2 to Proposed Rule ChangePDF - 5.14 KB
9/29/2000Federal Register NoticePDF - 135.12 KB
6/28/2001Amendment No. 3 to Proposed Rule ChangePDF - 19.34 KB
7/13/2001Approval OrderPDF - 38.76 KB