Order Rule

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

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

Public Comments

Title

Release Number

34-50221

SEC Issue Date

Aug. 19, 2004

Federal Register Publish Date

Aug. 25, 2004

Document Citation

69 FR 52317

Resources

Notice Rule: SEC Issued Version (pdf 81.68 KB)

Notice Rule: Federal Register Version

Rel. No. 34-50446

View Received Comments

Last Reviewed or Updated: Aug. 19, 2004

Resources

Order Rule: SEC Issued Version (pdf 64.68 KB)

Order Rule: Federal Register Version

Rel. No. 34-50221

Details

Public Comments Due

Sept. 15, 2004

File Number

SR-NASD-2004-121

Rule Type

Order

Release Number

34-50446

SEC Issue Date

Sept. 24, 2004

Federal Register Publish Date

Sept. 30, 2004

Document Citation

69 FR 58568

Rules & Regulations

Enforcement & Litigation

Compliance

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

Public Comments

Resources

Resources

Details

More in this Section

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

Public Comments

Notice Rule (34-50221)

Resources

Resources

Details