SR-NASD-2004-133
Proposed Amendments to Rule 9522
NASD has filed with the SEC a proposed rule change to amend NASD Rule 9522 to permit NASD's Department of Member Regulation ("Member Regulation") to approve MC-400 Applications of disqualified persons whose functions will be purely clerical and/or ministerial in nature.
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 53.83 KB | |
| Federal Register Notice | PDF - 64.44 KB | |
| Approval Order | PDF - 51.63 KB |