SR-NASD-2003-176
Chief Executive Officer and Chief Compliance Officer Certification Proposal
NASD has filed with the SEC a proposed rule change to establish NASD Rule 3013 and accompanying Interpretive Material ("IM") 3013 to require each member to designate a chief compliance officer ("CCO") and further require the member’s chief executive officer ("CEO") and CCO to certify annually to having in place a process to establish, maintain, review, modify, and test policies and procedures reasonably designed to achieve compliance with applicable NASD rules, MSRB rules and the federal securities laws.
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 59.39 KB | |
| Federal Register Notice | PDF - 49.33 KB | |
| Federal Register Notice of Designation of Longer Period for Commission Action and Extension of Comment Period | PDF - 33.51 KB | |
| Response to Comments and Amendment No. 1 | PDF - 28 KB | |
| Amendment No. 2 to Proposed Rule Change | PDF - 15.96 KB | |
| Notice of Filing of Amendment No. 2 to Proposed Rule Change | PDF - 73.33 KB | |
| Exhibit 3 | PDF - 32.33 KB | |
| Exhibit 4 | PDF - 35.59 KB |