Amendments to NASD's Minor Rule Violation Plan

NASD has filed with the SEC a proposed rule change to amend NASD Interpretative Material 9216 ("IM-9216") to expand the list of violations eligible for disposition under NASD's Minor Rule Violation Plan ("MRVP") to include failure to timely submit amendments to the Form U5, as required by Article V, Section 3(a) of the NASD By-Laws.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 69.55 KB
Amendment No. 1 to Proposed Rule ChangePDF - 71.31 KB
Amendment No. 2 to Proposed Rule ChangePDF - 19.04 KB
Federal Register NoticePDF - 59.11 KB