Amendment to NASD's Minor Rule Violation Plan and Late Fee Provision

NASD has filed with the SEC a proposed rule change to amend NASD Interpretative Material 9216 ("IM-9216") (Violations Appropriate for Disposition Under the Plan Pursuant to SEC Rule 19d-1(c)(2)) and Schedule A of the NASD By-laws ("Schedule A") to clarify that a failure to timely file Schedule I, pursuant to Exchange Act Rule 17a-10, is eligible for disposition under NASD’s Minor Rule Violation Plan ("MRVP" or "the Plan") and for assessment of a late fee.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 43.05 KB
Approval OrderPDF - 45.88 KB