Amendments to the Rule 9600 Series; Filed for Immediate Effectiveness

NASD has filed with the SEC a proposed rule change to amend the NASD Rule 9600 Series to permit a Waiver Subcommittee of the National Adjudicatory Council ("NAC") to affirm, modify, or reverse a decision of NASD's Department of Member Regulation ("Department") denying a request for a waiver from a required qualifications examination pursuant to Rule 1070.

DateTitleFormat - SizeStatus
6/24/2004Text of Proposed Rule ChangePDF - 76.39 KB
7/22/2004Amendment No. 1 to Proposed Rule ChangePDF - 18.74 KB
8/3/2004Notice of Filing and Immediate EffectivenessPDF - 64.06 KB