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.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 51.99 KB
Amendment No. 1 to Proposed Rule ChangePDF - 62.73 KB
Amendment No. 2 to Proposed Rule ChangePDF - 21.97 KB
Federal Register NoticePDF - 59.01 KB
Response to CommentsPDF - 878.81 KB
Approval OrderPDF - 53.23 KB