Amendment to NASD's Minor Rule Violation Plan

NASD has filed with the SEC a proposed rule change to amend NASD Interpretative Material 9216 (IM-9216) (Violations Appropriate for Disposition Under the Plan Pursuant to SEC Rule 19d-1(c)(2)) to clarify that a failure to timely file annual audit reports is eligible for disposition under NASD's Minor Rule Violation Plan ("MRVP" or "the Plan").

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 35.37 KB
Approval OrderPDF - 39.71 KB