Proposed Rule Change to Amend NASD Interpretive Material 3013

NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Interpretive Material 3013 ("IM-3013") to clearly establish the timing with respect to the requirement to submit to the member's board of directors and audit committee a report that evidences certain processes that form the basis of a certification by the Chief Executive Officer ("CEO") under Rule 3013.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 191.4 KB
Notice of Filing and Accelerated ApprovalPDF - 59.94 KB