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Regulatory Release

Notice of Filing of Amendment No. 2 to a Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Chief Executive Officer Certification and Designation of Chief Compliance Officer

Details

Rule Type

Notice

Release Number

34-50105

SEC Issue Date

July 28, 2004 | 3:16 pm ET

Federal Register Publish Date

Aug. 3, 2004 | 12:23 am ET

Document Citation

69 FR 46603

Resources

Rel. No. 34-50105

Federal Register Version

SRO Organization

National Association of Securities Dealers (NASD)

Last Reviewed or Updated: Dec. 29, 2025

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing of Amendment No. 2 to a Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Chief Executive Officer Certification and Designation of Chief Compliance Officer

Details

Resources

More in this Section

Notice of Filing of Amendment No. 2 to a Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Chief Executive Officer Certification and Designation of Chief Compliance Officer

Details

Resources