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Exemption From Fidelity Bonding Requirement

NASDR has filed with the SEC a proposed rule change to amend Rule 3020 of the National Association of Securities Dealers, Inc. to grant to the staff authority to adjust the fidelity bond required of a member in certain circumstances upon a showing of good cause, either conditionally or unconditionally.

Title Format - Size Status
Text of Proposed Rule Change PDF - 37.93 KB
Amendment No. 1 to Proposed Rule Change PDF - 22.47 KB
Federal Register Notice PDF - 19.1 KB
Approval Order PDF - 20.5 KB