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Regulatory Release

Order Approving 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

Details

Rule Type

Order

Release Number

34-52799

SEC Issue Date

Nov. 18, 2005 | 2:17 pm ET

Federal Register Publish Date

Nov. 29, 2005 | 12:24 am ET

Document Citation

70 FR 71573

Resources

Rel. No. 34-52799

Federal Register Version

SRO Organization

National Association of Securities Dealers (NASD)

Last Reviewed or Updated: Dec. 23, 2025

Rules & Regulations

Enforcement & Litigation

Compliance

Order Approving 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

Details

Resources

More in this Section

Order Approving 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

Details

Resources