Proposed Rule Change to Amend Rules 6951 and 6954 Regarding the Order Audit Trail System
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rules 6951 and 6954 to require members that transmit an intermarket sweep order ("ISO") to another member, electronic communications network, non-member, or exchange to record and report the fact that the order was an ISO.
Title | Format - Size | Status |
---|---|---|
Text of Proposed Rule Change | PDF - 64.54 KB | |
Amendment No. 1 to Proposed Rule Change | PDF - 25.51 KB | |
Federal Register Notice | PDF - 65.37 KB | |
Approval Order | PDF - 52.34 KB |