Proposed Amendment to Rule 3010(a)(7) to Require Registered Principals to Attend Annual Compliance Meetings

NASD has filed with the SEC a proposed rule change to amend NASD Rule 3010(a)(7) to require that registered principals, in addition to registered representatives, attend an annual compliance meeting.  NASD also is proposing a technical amendment to Rule 3010(a) to clarify that each member is required to establish and maintain a system to supervise the activities of each registered representative, registered principal, and associated person.

DateTitleFormat - SizeStatus
1/13/2005Text of Proposed Rule ChangePDF - 51.99 KB
3/1/2005Amendment No. 1 to Proposed Rule ChangePDF - 62.73 KB
3/9/2005Amendment No. 2 to Proposed Rule ChangePDF - 21.97 KB
3/20/2005Federal Register NoticePDF - 59.01 KB
4/22/2005Response to CommentsPDF - 878.81 KB
5/2/2005Approval OrderPDF - 53.23 KB