Amendments 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") to expand the list of violations eligible for disposition under NASD’s Minor Rule Violation Plan ("MRVP").

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 45.57 KB
Amendment No. 1 to Proposed Rule ChangePDF - 90.85 KB
Amendment No. 2 to Proposed Rule ChangePDF - 225.83 KB
Federal Register NoticePDF - 65.01 KB
Approval OrderPDF - 18.49 KB