Proposed Amendment to NASD IM-9216 to Expand the List of Violations Eligible for Disposition Under NASD's Minor Rule Violation Plan

NASD is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Interpretative Material 9216 (Violations Appropriate for Disposition Under Plan Pursuant to SEC Rule 19d-1(c)(2)) (“IM-9216”) to expand the list of violations eligible for disposition under NASD’s Minor Rule Violation Plan (“MRVP”). The MRVP would be amended to include certain rules of the New York Stock Exchange, LLC (“NYSE”) that will apply solely to members of the Financial Industry Regulatory Authority, Inc. (“FINRA”) that also are members of the NYSE (“Dual Members”) on or after the date of closing of the Transaction. The proposed rule change also would delete from IM-9216 references to NASD rules that have been rescinded.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 81.13 KB
Federal Register NoticePDF - 61.28 KB
Approval OrderPDF - 63.73 KB