Proposed Amendments to Rule 9522

NASD has filed with the SEC a proposed rule change to amend NASD Rule 9522 to permit NASD's Department of Member Regulation ("Member Regulation") to approve MC-400 Applications of disqualified persons whose functions will be purely clerical and/or ministerial in nature.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 53.83 KB
Federal Register NoticePDF - 64.44 KB
Approval OrderPDF - 51.63 KB