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Regulatory Release

Notice of Filing of Proposed Rule Change Relating to Chief Executive Officer and Chief Compliance Officer Certification

Details

Rule Type

Notice

Release Number

34-48981

SEC Issue Date

Dec. 23, 2003 | 2:16 pm ET

Resources

Rel. No. 34-48981

SRO Organization

National Association of Securities Dealers (NASD)

Last Reviewed or Updated: Dec. 29, 2025

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing of Proposed Rule Change Relating to Chief Executive Officer and Chief Compliance Officer Certification

Details

Resources

More in this Section

Notice of Filing of Proposed Rule Change Relating to Chief Executive Officer and Chief Compliance Officer Certification

Details

Resources