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  • Maintenance of Compositional Requirements of the Board

    Sec. 14.  Each elected or appointed Governor shall update the information submitted under Section 9(d) regarding his or her classification as a Large Firm, Mid-Size Firm, Small Firm, Public, Floor Member, Independent Dealer/Insurance Affiliate and/or Investment Company Affiliate Governor at least annually and upon request of the Secretary of the Corporation, and shall report immediately to the Secretary any change in such classification.
    Amended by SR-NASD-2007-023 eff. July 30, 2007.
    Amended by SR-NASD-2001-06 eff. May 8, 2001.
    Adopted by SR-NASD-97-71 eff. Jan. 15, 1998.