SR-NASD-2004-025
Amendments to NASD's Minor Rule Violation Plan
NASD has filed with the SEC a proposed rule change to amend NASD Interpretative Material 9216 ("IM-9216") to expand the list of violations eligible for disposition under NASD’s Minor Rule Violation Plan ("MRVP").
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 45.57 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 90.85 KB | |
| Amendment No. 2 to Proposed Rule Change | PDF - 225.83 KB | |
| Federal Register Notice | PDF - 65.01 KB | |
| Approval Order | PDF - 18.49 KB |