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