Proposed Amendments to Eliminate Exemptions from the Continuing Education Regulatory Element Requirements

NASD has filed with the SEC a proposed rule change to amend Rule 1120 to eliminate all exemptions from the requirement to complete the Regulatory Element of the Continuing Education ("CE") Program.

For your convenience, this Web Page makes these documents available as PDF (Portable Document Format) files. If you do not have the Adobe® Acrobat Reader to view PDF files, please click here to download the free plug-in. Note: Page numbering may vary from that shown on the copy filed with the SEC

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 84.27 KB
Amendment No. 1 to Proposed Rule ChangePDF - 59.79 KB
Federal Register NoticePDF - 68.25 KB