Proposed Rule Change to Amend NASD Rule 3360 in Light of the SEC Regulation SHO
NASD has filed with the SEC a proposed rule change to amend NASD Rule 3360 to change references from "SEC Rule 3b-3" to "SEC Rule 200," thereby conforming the rule language in Rule 3360 in light of the SEC’s new short sale regulation, Regulation SHO.
Title | Format - Size | Status |
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Text of Proposed Rule Change | PDF - 47.34 KB | |
Federal Register Notice | PDF - 60.25 KB |