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Regulatory Release

Order Granting Approval of a Proposed Rule Change To Amend the Criteria Used To Place Members on Surveillance Status and To Eliminate Member and Applicant Financial Responsibility and Operational Capability Questionnaires

Details

Rule Type

Order

Release Number

34-51362

SEC Issue Date

March 11, 2005 | 2:01 pm ET

Federal Register Publish Date

March 21, 2005 | 11:54 pm ET

Document Citation

70 FR 13562

Resources

34-51362

Federal Register Version

SRO Organization

National Securities Clearing Corporation

Last Reviewed or Updated: July 19, 2023

Rules & Regulations

Enforcement & Litigation

Compliance

Order Granting Approval of a Proposed Rule Change To Amend the Criteria Used To Place Members on Surveillance Status and To Eliminate Member and Applicant Financial Responsibility and Operational Capability Questionnaires

Details

Resources

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Order Granting Approval of a Proposed Rule Change To Amend the Criteria Used To Place Members on Surveillance Status and To Eliminate Member and Applicant Financial Responsibility and Operational Capability Questionnaires

Details

Resources