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.

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