Temporary Program to Allow Member Firms to Voluntarily Submit Accumulated Funds to NASD

NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to allow member firms to voluntarily submit, within six months of the effective date of this rule proposal, funds previously accumulated by member firms to satisfy their, and subsequently NASD's, obligation to remit SEC Section 31-related fees, to NASD.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 134.09 KB
Federal Register NoticePDF - 59.87 KB
Approval OrderPDF - 59.57 KB