Exemption From Fidelity Bonding Requirement
NASDR has filed with the SEC a proposed rule change to amend Rule 3020 of the National Association of Securities Dealers, Inc. to grant to the staff authority to adjust the fidelity bond required of a member in certain circumstances upon a showing of good cause, either conditionally or unconditionally.
Title | Format - Size | Status |
---|---|---|
Text of Proposed Rule Change | PDF - 37.93 KB | |
Amendment No. 1 to Proposed Rule Change | PDF - 22.47 KB | |
Federal Register Notice | PDF - 19.1 KB | |
Approval Order | PDF - 20.5 KB |