SR-NASD-2000-039
Amendment to Schedule A of the NASD By-Laws for the Timely Filing of Reports, and Amendments to IM-9216, Minor Rule Violation Plan
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposal to amend Schedule A of the NASD By-Laws for the timely filing of reports and to amend NASD IM-9216 to expand the NASD's Minor Rule Violation Plan pursuant to SEC Rule 19d-1.
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 65.3 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 11.02 KB | |
| Amendment No. 2 to Proposed Rule Change | PDF - 5.14 KB | |
| Federal Register Notice | PDF - 135.12 KB | |
| Amendment No. 3 to Proposed Rule Change | PDF - 19.34 KB | |
| Approval Order | PDF - 38.76 KB |