Maintenance of Compositional Requirements of the Board
Sec. 14. Each elected or appointed Governor shall update the information submitted under Section 9(d) regarding his or her classification as a Large Firm, Mid-Size Firm, Small Firm, Public, Floor Member, Independent Dealer/Insurance Affiliate and/or Investment Company Affiliate Governor at least annually and upon request of the Secretary of the Corporation, and shall report immediately to the Secretary any change in such classification.
|Amended by SR-NASD-2007-023 eff. July 30, 2007.
Amended by SR-NASD-2001-06 eff. May 8, 2001.
Adopted by SR-NASD-97-71 eff. Jan. 15, 1998.