Proposal to Conduct Background Verification and Charge Application Fee for NASD Neutral Roster Applicants

NASD has filed a proposal to conduct background verification and charge an application fee for NASD neutral roster applicants. NASD is not proposing any textual changes to the By-Laws or Rules of NASD.

TitleFormat - SizeStatus
Approval OrderPDF - 38.72 KB
Text of proposed rule changePDF - 29.66 KB
Federal Register NoticePDF - 39.63 KB