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NASD Modifies Disciplinary Proceeding Rules

By Mark J. Astarita, Esq.


On August 1, 2000, the SEC approved rule changes proposed by the NASD that amend the NASD Code of Procedure (the Code) and other provisions. The changes include provisions to:

The rule changes are included with this Notice (see Attachment A). These changes become effective on September 11, 2000.

The full text of the Notice of the change is available at http://www.nasdr.com/pdf-text/0056ntm.txt

Nothing herein is intended as legal or financial advice. The law is different in different jurisdictions, and the facts of a particular matter can change the application of the law. Please consult an attorney or your financial advisor before acting upon the information contained in this article.

 

Categories: Brokers Compliance