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").

DateTitleFormat - SizeStatus
2/10/2004Text of Proposed Rule ChangePDF - 45.57 KB
3/16/2005Amendment No. 1 to Proposed Rule ChangePDF - 90.85 KB
6/27/2005Amendment No. 2 to Proposed Rule ChangePDF - 225.83 KB
6/14/2005Federal Register NoticePDF - 65.01 KB
8/24/2005Approval OrderPDF - 18.49 KB