Order Rule

Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Amendments to the Rule Regarding Supervisory Control Systems, Rule 3012, To Require Notification of Reliance on "Limited Size and Resources" Exception

Registered Securities Associations, National Association of Securities Dealers (NASD)

Public Comments

Title

Release Number

34-52195

SEC Issue Date

Aug. 3, 2005

Federal Register Publish Date

Aug. 9, 2005

Document Citation

70 FR 46242

Resources

Notice Rule: SEC Issued Version (pdf 109.43 KB)

Notice Rule: Federal Register Version

Rel. No. 34-52799

Last Reviewed or Updated: Dec. 23, 2025

Resources

Order Rule: SEC Issued Version (pdf 83.17 KB)

Order Rule: Federal Register Version

Rel. No. 34-52195

Details

Public Comments Due

Aug. 30, 2005

File Number

SR-NASD-2005-084

Rule Type

Order

Release Number

34-52799

SEC Issue Date

Nov. 18, 2005

Federal Register Publish Date

Nov. 29, 2005

Document Citation

70 FR 71573

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Amendments to the Rule Regarding Supervisory Control Systems, Rule 3012, To Require Notification of Reliance on "Limited Size and Resources" Exception

Public Comments

Resources

Resources

Details

More in this Section

Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Amendments to the Rule Regarding Supervisory Control Systems, Rule 3012, To Require Notification of Reliance on "Limited Size and Resources" Exception

Public Comments

Notice Rule (34-52195)

Resources

Resources

Details