SR-NASD-2002-162

Proposed Supervisory Control Amendments

NASD has filed with the SEC a proposed rule change to adopt new Rule 3012 and amend other rules regarding the supervisory and supervisory control procedures of member firms.

DateTitleFormat - SizeStatus
11/4/2002Text of Proposed Rule ChangePDF - 203.3 KB
12/16/2003Amendment No. 3 to Proposed Rule ChangePDF - 53.19 KB
1/14/2004Extension No. 4PDF - 4.64 KB
2/13/2004Extension No. 5PDF - 4.67 KB
4/14/2004Extension No. 7PDF - 4.66 KB
3/14/2004Extension No. 6PDF - 4.67 KB
5/11/2004Eighth Extension LetterPDF - 9.77 KB
6/16/2004Ninth Extension LetterPDF - 9.81 KB
6/23/2004Approval OrderPDF - 122.79 KB
11/27/2002Federal Register NoticePDF - 48.15 KB
12/26/2002Federal Register Notice of Extension of Comment PeriodPDF - 34.38 KB
3/27/2003Extension LetterPDF - 4.68 KB
4/28/2003Extension No. 2PDF - 4.67 KB
6/25/2003Third Extension LetterPDF - 4.68 KB
8/4/2003Amendment No. 1 to Proposed Rule ChangePDF - 157.22 KB
8/7/2003Amendment No. 2 to Proposed Rule ChangePDF - 15.13 KB
8/13/2003Federal Register Notice of Filing of Amendments Nos. 1 and 2PDF - 76.38 KB