SR-NASD-2005-101
Proposed Rule Change to Amend NASD Rules 6951 and 6952 Regarding Order Audit Trail System Reporting
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rules 6951 and 6952 to require members to record and report to the Order Audit Trail System ("OATS") order information relating to OTC equity securities.
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 210.03 KB | |
| Federal Register Notice | PDF - 70.18 KB | |
| Extension | PDF - 77.43 KB | |
| Extension No. 2 | PDF - 77.43 KB | |
| Extension No. 3 | PDF - 77.42 KB | |
| Extension No. 4 | PDF - 77.42 KB | |
| Extension No. 5 | PDF - 19.59 KB | |
| Extension No. 6 | PDF - 19.59 KB | |
| Extension No. 7 | PDF - 19.64 KB | |
| Extension No. 8 | PDF - 19.49 KB | |
| Extension No. 9 | PDF - 19.49 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 53.57 KB | |
| Approval Order | PDF - 64.03 KB |