SR-NASD-1999-046
Chief Compliance Officer Registration
NASDR has filed with the SEC a proposed rule change to amend Rule 1022 of the National Association of Securities Dealers, Inc. to require the registration of chief compliance officers.
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 49.76 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 5.16 KB | |
| Amendment No. 2 to Proposed Rule Change | PDF - 10.28 KB | |
| Federal Register Notice | PDF - 135.19 KB | |
| Amendment No. 3 to Proposed Rule Change | PDF - 17.48 KB | |
| Revised Amendment No. 3 to Proposed Rule Change | PDF - 21.5 KB | |
| Approval Order | PDF - 43.16 KB |