SR-NASD-2004-098

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.

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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