Amendment to NASD Rule 1022 to Establish Qualification Requirements for Supervisors of Research Analysts

NASD has filed with the SEC a proposed rule change to amend NASD Rule 1022 to establish certain qualification requirements for supervisors of research analysts. More specifically, the proposed rule change would require supervisors of research analysts to pass the regulatory part (Series 87) of the Research Analyst Qualification Examination or the Series 16 Supervisory Analyst Examination administered by the New York Stock Exchange (“NYSE”).

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 97.41 KB
Approval OrderPDF - 60.05 KB