Proposed Rule Change to Amend the Definition of Office of Supervisory Jurisdiction ("OSJ") in NASD Rule 3010(g)(1)
FINRA (f/k/a National Association of Securities Dealers, Inc. or "NASD") is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend the definition of office of supervisory jurisdiction ("OSJ") in NASD Rule 3010(g)(1) to exempt locations that solely conduct final approval of research reports.
Title | Format - Size | Status |
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Text of Proposed Rule Change | PDF - 69.43 KB | |
Federal Register Notice | PDF - 65.96 KB | |
Approval Order | PDF - 56.08 KB |