Order Rule

Notice Requirement Before a Party Issues a Subpoena to a Non-Party for Pre-Hearing Discovery

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

Public Comments

Title

Notice of Filing of Amendments Nos. 1, 2 and 3 to Proposed Rule Change To Revise Rule 10322 of the NASD Code of Arbitration Procedure Which Pertains to Subpoenas and the Power To Direct Appearances

Release Number

34-54134

SEC Issue Date

July 12, 2006

Federal Register Publish Date

July 18, 2006

Document Citation

71 FR 40762

Resources

Notice Rule: SEC Issued Version (pdf 57.88 KB)

Notice Rule: Federal Register Version

Rel. No. 34-55038

Rel. No. 34-51981

View Received Comments

Title

Notice Requirement Before a Party Issues a Subpoena to a Non-Party for Pre-Hearing Discovery

Release Number

34-51981

SEC Issue Date

July 6, 2005

Federal Register Publish Date

July 13, 2005

Document Citation

70 FR 40411

Resources

Notice Rule: SEC Issued Version (pdf 32.09 KB)

Notice Rule: Federal Register Version

Rel. No. 34-55038

Rel. No. 34-54134

View Received Comments

Last Reviewed or Updated: July 6, 2005

Resources

Order Rule: SEC Issued Version (pdf 319.43 KB)

Order Rule: Federal Register Version

Rel. No. 34-54134

Rel. No. 34-51981

Details

Public Comments Due

Aug. 3, 2005

File Number

SR-NASD-2005-079

Rule Type

Order

Release Number

34-55038

SEC Issue Date

Jan. 3, 2007

Federal Register Publish Date

Jan. 11, 2007

Document Citation

72 FR 1353

Rules & Regulations

Enforcement & Litigation

Compliance

Notice Requirement Before a Party Issues a Subpoena to a Non-Party for Pre-Hearing Discovery

Public Comments

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Notice Requirement Before a Party Issues a Subpoena to a Non-Party for Pre-Hearing Discovery

Public Comments

Notice Rule (34-54134)

Resources

Notice Rule (34-51981)

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