SR-NASD-1998-090
Proposed Amendments to the Code of Procedure to Provide for the Office of Disciplinary Affairs of NASD Regulation, Inc. to Authorize All Enforcement Actions
NASDR has filed with the SEC a proposed rule change to amend Rules 9120 and 9211 of the NASD to provide for the Office of Disciplinary Affairs of NASD Regulation to authorize all disciplinary actions.
Title | Format - Size | Status |
---|---|---|
Text of Proposed Rule Change | PDF - 32.9 KB | |
Federal Register Notice | PDF - 19.38 KB | |
Approval Order | PDF - 21.48 KB |