Proposed Registration Category for Proctors of In-Firm Delivery of the Regulatory Element

NASD has filed with the SEC a proposed rule change to establish NASD Rule 1043, a new registration category for proctors of in-firm delivery of the Regulatory Element of NASD’s continuing education requirements.

TitleFormat - SizeStatus
Text of proposed rule changePDF - 28.38 KB
Federal Register NoticePDF - 39.39 KB
Approval OrderPDF - 35.12 KB