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  1. Rules & Guidance
  2. Rule Filings
SR-NASD-2005-058

Proposed Amendments to NASD Rules 3150 and 3230

NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rules 3150 and 3230 governing the reporting of data to clearing firms by correspondent firms.

Title Format - Size Status
Text of Proposed Rule Change PDF - 58.84 KB
Amendment No. 1 to Proposed Rule Change PDF - 197.24 KB
Federal Register Notice PDF - 57.98 KB
Approval Order PDF - 55.44 KB

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