Amendment to Relieve Registered Representatives Serving in Armed Forces from Continuing Education Requirements

NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend NASD IM-1000-2 to codify the staff's position regarding the relief from Rule 1120, Continuing Education Requirements, for securities industry professionals who volunteer or are called into active military duty.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 25.64 KB
Approval OrderPDF - 45.21 KB