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Regulatory Release

Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the National Association of Securities Dealers, Inc. To Include Failures to Timely Submit Amendments to Form U5 in its Minor Rule Violation Plan

Details

Rule Type

Order

Release Number

34-50446

SEC Issue Date

Sept. 24, 2004 | 3:17 pm ET

Federal Register Publish Date

Sept. 30, 2004 | 12:23 am ET

Document Citation

69 FR 58568

Resources

Rel. No. 34-50446

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 Amendment Nos. 1 and 2 Thereto by the National Association of Securities Dealers, Inc. To Include Failures to Timely Submit Amendments to Form U5 in its Minor Rule Violation Plan

Details

Resources

More in this Section

Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the National Association of Securities Dealers, Inc. To Include Failures to Timely Submit Amendments to Form U5 in its Minor Rule Violation Plan

Details

Resources