Proposed Rule Change to Amend NASD Rule 3013 and Accompanying IM-3013

NASD is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend NASD Rule 3013 and accompanying Interpretive Material 3013 to permit members to designate co-chief executive officers and multiple chief compliance officers to discharge the requirements of those rules.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 76.16 KB
Notice of Filing and Immediate EffectivenessPDF - 54.21 KB