SR-NASD-2007-052

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.

DateTitleFormat - SizeStatus
7/23/2007Text of Proposed Rule ChangePDF - 81.05 KB
2/7/2008Amendment No. 1 to Proposed Rule ChangePDF - 94.55 KB
3/21/2008Federal Register NoticePDF - 65.82 KB
4/29/2008Extension No. 1PDF - 23.51 KB
4/29/2008Approval OrderPDF - 62.54 KB