Rule Change to Amend NASD Code of Procedure Rule 9522

NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend NASD Code of Procedure Rule 9522(e)(2) to expressly describe those instances in which the Department of Member Regulation may approve an MC-400 application for relief from NASD eligibility requirements.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 26.5 KB
Amendment No. 1 to Proposed Rule ChangePDF - 7.08 KB
Approval OrderPDF - 39.47 KB