Notice to Members 03-20
Technical Changes to the NASD Registration Rules Effective Immediately
On February 26, 2003, NASD filed with the Securities and Exchange Commission (SEC) for immediate effectiveness changes to the NASD Registration Rules. The changes are technical in nature and include, among other things, removing references to old NASD forms and registration categories, deleting provisions regarding outdated grandfathering clauses, deleting duplicative provisions, and combining certain provisions to eliminate redundancies in the rule language.
Questions concerning this Notice may be directed to Afshin Atabaki, Attorney, Office of General Counsel, NASD Regulatory Policy and Oversight, at (202) 728-8902.
|Date||Title||Format - Size|
|3/31/2015||Notice to Members 02-20 - Federal Register Notice||PDF - 62.06 KB|