Proposal to Adopt Rule 3170 Regarding Electronic Filing of All Regulatory Notices or Documents as Specified by NASD

NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt NASD Rule 3170 to require members to file with NASD, or otherwise submit to NASD, in such electronic format as NASD may require, all regulatory notices or other documents required to be filed or otherwise submitted to NASD, as specified by NASD.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 54.11 KB
Federal Register NoticePDF - 52.78 KB
Correction to Federal Register NoticePDF - 49.3 KB
Approval OrderPDF - 52.9 KB