NASD Proposes Compliance Rules

Hume, Lynn
June 2003
Bond Buyer;6/5/2003, Vol. 344 Issue 31650, p2
Trade Publication
The National Association of Securities Dealers (NASD) has proposed amending its rules to require broker-dealers' compliance officers and chief executive officers to annually certify that their firms have policies and procedures in place that are "reasonably designed to comport with" the applicable federal laws and rules as well as NASD and Municipal Securities Rulemaking Board rules. The self-regulatory group has also issued an interpretative release that stresses the proposed rule changes are not intended to make these top officials personally liable for every compliance or supervisory failure. The NASD has set a July 11, 2003 deadline for public comment on the proposal.


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