SR-NASD-2002-162
Proposed Supervisory Control Amendments
NASD has filed with the SEC a proposed rule change to adopt new Rule 3012 and amend other rules regarding the supervisory and supervisory control procedures of member firms.
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 203.3 KB | |
| Amendment No. 3 to Proposed Rule Change | PDF - 53.19 KB | |
| Extension No. 4 | PDF - 4.64 KB | |
| Extension No. 5 | PDF - 4.67 KB | |
| Extension No. 7 | PDF - 4.66 KB | |
| Extension No. 6 | PDF - 4.67 KB | |
| Eighth Extension Letter | PDF - 9.77 KB | |
| Ninth Extension Letter | PDF - 9.81 KB | |
| Approval Order | PDF - 122.79 KB | |
| Federal Register Notice | PDF - 48.15 KB | |
| Federal Register Notice of Extension of Comment Period | PDF - 34.38 KB | |
| Extension Letter | PDF - 4.68 KB | |
| Extension No. 2 | PDF - 4.67 KB | |
| Third Extension Letter | PDF - 4.68 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 157.22 KB | |
| Amendment No. 2 to Proposed Rule Change | PDF - 15.13 KB | |
| Federal Register Notice of Filing of Amendments Nos. 1 and 2 | PDF - 76.38 KB |