Proposed Amendments to Rule 3070 Requiring Members To File Copies Of Criminal and Civil Complaints and Arbitration Claims with NASD

NASD has filed with the SEC a proposed rule change to amend NASD Rule 3070 to require members to file with NASD copies of certain criminal and civil complaints and arbitration claims.

TitleFormat - SizeStatus
Text of proposed rule changePDF - 32.97 KB
Amendment No. 1 to Proposed Rule ChangePDF - 36.89 KB
Federal Register NoticePDF - 44.75 KB
Extension LetterPDF - 4.95 KB
Response to CommentsPDF - 18.02 KB
Approval OrderPDF - 44.82 KB