SR-NASD-2002-070
Proposed Amendments to NASD Rules Regarding Replacement Hearing Officers' Authority to Participate in Hearing Panel Decisions
NASD has filed with the SEC a proposed rule change to amend NASD Rules 9231 and 9233 to clarify a replacement Hearing Officer’s authority when he or she is appointed after a hearing has begun or been concluded.
| Title | Format - Size | Status |
|---|---|---|
| Text of proposed rule change | PDF - 41.64 KB | |
| Approval Order | PDF - 45.98 KB |