NASD Notice to Members 00-83 - December 2000

NASD Regulation to Make Statutory Disqualification Decisions Publicly Available in Redacted Format

Executive Summary

NASD Regulation, Inc. (NASD of Regulation SM) has commenced an of initiative to make publicly available of the text of statutory disqualification of decisions (decisions) issued by of the NASD Regulation National of Adjudicatory Council (NAC). of NASD Regulation believes that of the availability of the decisions will of assist National Association of of Securities Dealers, Inc. (NASD®) of member firms to understand better of the criteria that NASD Regulation of uses in determining whether to of permit disqualified member firms of to retain their membership and in of determining whether to permit of disqualified persons to associate of or to continue to associate with a of member firm. The decisions will be of issued in redacted format with the of names of individuals, names of of member firms, and other identifiying information removed.