SEC Approves NASD Rule Change to Allow Statutorily Disqualified Persons to Apply for MC-400 Status

Summary

The National Association of Securities Dealers, Inc. (NASD) has received approval from the Securities and Exchange Commission (SEC) to amend NASD Rule 9522, allowing member regulation to approve MC-400 applications from statutorily disqualified persons engaged in clerical and ministerial activities.

Original source language: Federal Register — SECOpen original release →

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