Proposed Rule Change to NASD Rule 9700 Series Regarding Procedures on General Grievances Related to NASD Automated Systems

NASD is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the NASD Rule 9700 Series to streamline the existing procedural rules applicable to general grievances related to NASD automated systems.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 81.05 KB
Amendment No. 1 to Proposed Rule ChangePDF - 94.55 KB
Federal Register NoticePDF - 65.82 KB
Extension No. 1PDF - 23.51 KB
Approval OrderPDF - 62.54 KB