A Proposed Rule Change to NASD Rules 1012 and 1013 to Require Applicants for Membership to Apply for Membership in the Manner NASD Prescribes

NASD is filing with the Securities and Exchange Commission a proposed rule change to amend NASD Rules 1012 (General Provisions) and 1013 (New Member Application and Interview) to require an applicant for membership to submit an application in the manner prescribed by NASD. Currently, applicants submit the new membership application form (Form NMA) in hard copy; however, NASD will be requiring applicants to submit Form NMA electronically.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 74.84 KB
Notice of Filing and Immediate EffectivenessPDF - 59.46 KB