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Regulatory Release

Order Approving Proposed Rule Change and Amendments Nos. 1 and 2 Thereto by the National Association of Securities Dealers, Inc. Relating to Chief Executive Officer Certification and Designation of Chief Compliance Officer

Details

Rule Type

Order

Release Number

34-50347

SEC Issue Date

Sept. 10, 2004 | 3:17 pm ET

Federal Register Publish Date

Sept. 17, 2004 | 12:23 am ET

Document Citation

69 FR 56107

Resources

Rel. No. 34-50347

Federal Register Version

SRO Organization

National Association of Securities Dealers (NASD)

Last Reviewed or Updated: Dec. 29, 2025

Rules & Regulations

Enforcement & Litigation

Compliance

Order Approving Proposed Rule Change and Amendments Nos. 1 and 2 Thereto by the National Association of Securities Dealers, Inc. Relating to Chief Executive Officer Certification and Designation of Chief Compliance Officer

Details

Resources

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Order Approving Proposed Rule Change and Amendments Nos. 1 and 2 Thereto by the National Association of Securities Dealers, Inc. Relating to Chief Executive Officer Certification and Designation of Chief Compliance Officer

Details

Resources