Skip to main content

Definition of Disqualification

Sec. 4.  A person is subject to a "disqualification" with respect to membership, or association with a member, if such person is subject to any "statutory disqualification" as such term is defined in Section 3(a)(39) of the Act.
Amended by SR-NASD-2007-023 eff. July 30, 2007.
Amended by SR-NASD-97-71 eff. Jan. 15, 1998.
Amended by SR-NASD-96-21 eff. July 15, 1996.
Amended by SR-NASD-95-45 eff. Nov. 8, 1995.

Selected Notices: 86-85, 87-13, 88-96, 95-61.