Creation of a Separate Subsidiary to Administer Dispute Resolution Programs
NASDR has filed with the SEC a proposed rule change to create a dispute resolution subsidiary, NASD Dispute Resolution, Inc. ("NASD Dispute Resolution"), to handle dispute resolution programs; to adopt by-laws for such subsidiary; and to make conforming amendments to the Delegation Plan, the NASD Regulation By-Laws, and the Rules of the Association.
Title | Format - Size | Status |
---|---|---|
Text of Proposed Rule Change | PDF - 241.5 KB | |
Federal Register Notice | PDF - 85.82 KB | |
Correction to Federal Register Notice | PDF - 7.95 KB | |
Extension Letter | PDF - 2.68 KB | |
Extension No. 2 | PDF - 2.6 KB | |
Response to Comments | PDF - 26.34 KB | |
Approval Order | PDF - 35.1 KB |