SR-NASD-2007-052
Proposed Rule Change to NASD Rule 9700 Series Regarding Procedures on General Grievances Related to NASD Automated Systems
NASD is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the NASD Rule 9700 Series to streamline the existing procedural rules applicable to general grievances related to NASD automated systems.
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 81.05 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 94.55 KB | |
| Federal Register Notice | PDF - 65.82 KB | |
| Extension No. 1 | PDF - 23.51 KB | |
| Approval Order | PDF - 62.54 KB |