Proposed New Uniform Definition of "Branch Office" under NASD Rule 3010(g)(2)

NASD has filed with the SEC a proposed rule change to (1) amend NASD Rule 3010(g)(2) to revise the definition of the term "branch office"; and (2) adopt IM-3010-1 to provide guidance on factors to be considered by a member firm in conducting internal inspections of offices. The purpose of the proposed rule change is to facilitate the creation of a branch office registration system through the Central Registration Depository ("CRD")® to provide a more efficient, centralized method for members and associated persons to register branch office locations as required by the rules and regulations of States and self-regulatory organizations, including NASD.

DateTitleFormat - SizeStatus
7/1/2003Text of Proposed Rule ChangePDF - 123.22 KB
9/20/2004Amendment No. 3 to Proposed Rule ChangePDF - 46.8 KB
6/29/2004Amendment No. 4 to Proposed Rule ChangePDF - 45.52 KB
6/1/2005Amendment No. 5 to Proposed Rule ChangePDF - 36.49 KB
8/23/2005Amendment No. 6 to Proposed Rule ChangePDF - 270.59 KB
8/23/2005Approval OrderPDF - 85.67 KB
10/21/2003Amendment No. 1 to Proposed Rule ChangePDF - 144.08 KB
12/8/2003Amendment No. 2 to Proposed Rule ChangePDF - 11.25 KB
12/16/2003Federal Register NoticePDF - 70.27 KB
1/20/2004Extension LetterPDF - 4.94 KB
3/21/2004Extension No. 2PDF - 4.95 KB
5/21/2004Third Extension LetterPDF - 11.09 KB
6/24/2004Extension No. 4PDF - 11.1 KB
6/29/2004Response to CommentsPDF - 90.62 KB