Chief Executive Officer and Chief Compliance Officer Certification Proposal

NASD has filed with the SEC a proposed rule change to establish NASD Rule 3013 and accompanying Interpretive Material ("IM") 3013 to require each member to designate a chief compliance officer ("CCO") and further require the member’s chief executive officer ("CEO") and CCO to certify annually to having in place a process to establish, maintain, review, modify, and test policies and procedures reasonably designed to achieve compliance with applicable NASD rules, MSRB rules and the federal securities laws.

DateTitleFormat - SizeStatus
11/26/2003Text of Proposed Rule ChangePDF - 59.39 KB
12/31/2003Federal Register NoticePDF - 49.33 KB
2/3/2004Federal Register Notice of Designation of Longer Period for Commission Action and Extension of Comment PeriodPDF - 33.51 KB
3/8/2004Response to Comments and Amendment No. 1PDF - 28 KB
7/15/2004Amendment No. 2 to Proposed Rule ChangePDF - 15.96 KB
8/3/2004Notice of Filing of Amendment No. 2 to Proposed Rule ChangePDF - 73.33 KB
7/16/2004Exhibit 3PDF - 32.33 KB
7/16/2004Exhibit 4PDF - 35.59 KB