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9610. Application

This rule is no longer applicable. NASD Rule 9610 has been superseded by FINRA Rule 9610. Please consult the appropriate FINRA Rule.

(a) Where to File
A member seeking exemptive relief as permitted under Rules 1021, 1050, 1070, 2210, 2315, 2320, 2340, 2520, 2710, 2720, 2790, 2810, 2850, 2851, 2860, Interpretive Material 2860-1, 3010(b)(2), 3020, 3150, 3210, 3230, 5150, 6958, 8211, 8213, 11870, or 11900, or Municipal Securities Rulemaking Board Rule G-37 shall file a written application with the appropriate department or staff of NASD and provide a copy of the application to the Office of General Counsel of NASD .
(b) Content
An application filed pursuant to this Rule shall contain the member's name and address, the name of a person associated with the member who will serve as the primary contact for the application, the Rule from which the member is seeking an exemption, and a detailed statement of the grounds for granting the exemption. If the member does not want the application or the decision on the application to be publicly available in whole or in part, the member also shall include in its application a detailed statement, including supporting facts, showing good cause for treating the application or decision as confidential in whole or in part.
(c) Applicant
A member that files an application under this Rule is referred to as "Applicant" hereinafter in the Rule 9600 Series.
Amended by SR-FINRA-2007-013 eff. Oct. 15, 2007.
Amended by SR-NASD-2007-047 eff. July 6, 2007.
Amended by SR-NASD-2007-032 eff. May 10, 2007.
Amended by SR-NASD-2006-087 eff. Aug. 1, 2006.
Amended by SR-NASD-2005-087 eff. Aug. 1, 2006.
Amended by SR-NASD-2006-040 eff. July 10, 2006.
Amended by SR-NASD-2000-23 eff. July 10, 2006.
Amended by SR-NASD-2002-162 eff. Jan. 31, 2005.
Amended by SR-NASD-2004-100 eff. Sept. 1, 2004
Amended by SR-NASD-2004-020 eff. March 30, 2004.
Amended by SR-NASD-99-60 eff. March 23, 2004.
Amended by SR-NASD-99-04 eff. Oct. 30, 2002.
Amended by SR-NASD-2001-19 eff. Dec. 10, 2001.
Amended by SR-NASD-2000-77 eff. Sept. 17, 2001.
Amended by SR-NASD-98-57 eff. March 26, 1999.
Amended by SR-NASD-97-69 eff. August 17, 1998.
Amended by SR-NASD-97-81 eff. Jan. 16, 1998.
Adopted by SR-NASD-97-28 eff. Aug. 7, 1997.

Selected Notices: 98-52, 99-16, 01-52, 02-66, 03-79, 04-59, 04-71, 07-31, 07-45.

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