SR-NASD-2004-095

Policy to Conduct Fingerprint-based Background Checks of NASD Employees and Independent Contractors

NASD has filed with the SEC a proposed rule change for a program to conduct fingerprint-based background checks of NASD employees and independent contractors in the State of New York ("New York State") and, as business need may dictate, a program to conduct fingerprint-based background checks of NASD employees and independent contractors outside of New York State.

DateTitleFormat - SizeStatus
7/17/2004Text of Proposed Rule ChangePDF - 65.98 KB
8/12/2004Notice of Filing and Immediate EffectivenessPDF - 64.38 KB