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Notice Rule

Notice of Filing of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Regulating the Conduct of Broker/Dealers Operating on the Premises of a Financial Institution

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

Last Reviewed or Updated: Aug. 31, 2023

Resources

Notice Rule: SEC Issued Version (txt 129.77 KB)

Notice Rule: Federal Register Version

Details

File Number

SR-NASD-95-63

Rule Type

Notice

Release Number

34-36980

SEC Issue Date

March 15, 1996

Federal Register Publish Date

March 22, 1996

Document Citation

61 FR 11913

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Regulating the Conduct of Broker/Dealers Operating on the Premises of a Financial Institution

Resources

Details

More in this Section

Notice of Filing of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Regulating the Conduct of Broker/Dealers Operating on the Premises of a Financial Institution

Resources

Details