SR-NASD-2006-005
Proposal to Expand the Scope of Rule 2440 and IM-2440 to Apply to All Securities Transactions with or for a Customer
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to expand the scope of Rule 2440 and Interpretive Material (IM) 2440 relating to fair prices and commissions to apply to all securities transactions, whether executed over-the-counter ("OTC") or on an exchange.
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 191.84 KB | |
| Federal Register Notice | PDF - 54.63 KB | |
| Response to Comments | PDF - 63.9 KB | |
| Extension No. 1 | PDF - 23.46 KB | |
| Extension No. 2 | PDF - 23.44 KB | |
| Extension No. 3 | PDF - 19.3 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 23.02 KB | |
| Approval Order | PDF - 58.99 KB |