تنظيم الأسواق · 21/12/20041 دقائق للقراءة
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Granting Approval of Proposed Rule Change To Amend NASD Rule 9522 (“Initiation of Eligibility Proceeding; Member Regulation Consideration”) To Give Member Regulation the Authority To Approve the MC-400 Applications of Statutorily Disqualified Persons Who Will Be Engaged Solely in Clerical and/or Ministerial Activities
ترجمة آلية محلية · اللغة الأصلية للمصدر
الملخص
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Granting Approval of Proposed Rule Change To Amend NASD Rule 9522 (“Initiation of Eligibility Proceeding; Member Regulation Consideration”) To Give Member Regulation the Authority To Approve the MC-400 Applications of Statutorily Disqualified Persons Who Will Be Engaged Solely in Clerical and/or Ministerial Activities