Proposed Amendments to NASD Rules Regarding Replacement Hearing Officers' Authority to Participate in Hearing Panel Decisions

NASD has filed with the SEC a proposed rule change to amend NASD Rules 9231 and 9233 to clarify a replacement Hearing Officer’s authority when he or she is appointed after a hearing has begun or been concluded.

TitleFormat - SizeStatus
Text of proposed rule changePDF - 41.64 KB
Approval OrderPDF - 45.98 KB