SR-NASD-2002-112
Proposed Amendments to Rule 3070 Requiring Members To File Copies Of Criminal and Civil Complaints and Arbitration Claims with NASD
NASD has filed with the SEC a proposed rule change to amend NASD Rule 3070 to require members to file with NASD copies of certain criminal and civil complaints and arbitration claims.
| Title | Format - Size | Status |
|---|---|---|
| Text of proposed rule change | PDF - 32.97 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 36.89 KB | |
| Federal Register Notice | PDF - 44.75 KB | |
| Extension Letter | PDF - 4.95 KB | |
| Response to Comments | PDF - 18.02 KB | |
| Approval Order | PDF - 44.82 KB |