Proposed Amendments to Rule 3070 Requiring Members To File Copies Of Criminal and Civil Complaints and Arbitration Claims with NASD

NASD has filed with the SEC a proposed rule change to amend NASD Rule 3070 to require members to file with NASD copies of certain criminal and civil complaints and arbitration claims.

DateTitleFormat - SizeStatus
8/14/2002Text of proposed rule changePDF - 32.97 KB
12/6/2002Amendment No. 1 to Proposed Rule ChangePDF - 36.89 KB
12/27/2002Federal Register NoticePDF - 44.75 KB
1/29/2003Extension LetterPDF - 4.95 KB
2/11/2003Response to CommentsPDF - 18.02 KB
3/9/2003Approval OrderPDF - 44.82 KB