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Regulatory Release

Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Regarding Guidance for Adjudicating Clearly Erroneous Transactions Under NASD Rule 11890

Details

Rule Type

Notice

Release Number

34-54873

SEC Issue Date

Dec. 5, 2006 | 2:17 pm ET

Federal Register Publish Date

Dec. 11, 2006 | 12:24 am ET

Document Citation

71 FR 71600

Resources

34-54873

Federal Register Version

SRO Organization

National Association of Securities Dealers (NASD)

Last Reviewed or Updated: July 19, 2023

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Regarding Guidance for Adjudicating Clearly Erroneous Transactions Under NASD Rule 11890

Details

Resources

More in this Section

Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Regarding Guidance for Adjudicating Clearly Erroneous Transactions Under NASD Rule 11890

Details

Resources