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Regulação de mercados · 21/12/20041 min de leitura
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
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Resumo
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
Idioma original da fonte: Federal Register — SECAbrir o comunicado original →