NASD has filed with the SEC a proposed rule change to NASD Rule 2860(b)(3)(A) to amend the options position and exercise limits for positions entered into under certain enumerated hedge strategies.
NASD has filed with the SEC a proposed rule change to amend NASD Rules 1120 and 2711, and a proposed rule change to create a new NASD Rule 1050, to expand upon recently approved rules that govern research analyst conflicts of interest.
NASD has filed with the SEC a proposed rule change to amend NASD Interpretative Material 9216 (IM-9216) (Violations Appropriate for Disposition Under the Plan Pursuant to SEC Rule 19d-1(c)(2)) to clarify that a failure to timely file annual audit reports is eligible for disposition under NASD's Minor Rule Violation Plan ("MRVP" or "the Plan").
NASD has filed with the SEC a proposed rule change to amend: (1) Rule 6250 to provide for the dissemination of transaction information on additional Investment Grade TRACE-eligible securities under the Rule 6200 Series (also known as the Trade Reporting and Compliance Engine ("TRACE") Rules); (2) Rule 6230 and Rule 9610(a) to provide NASD staff the authority to grant exemptive relief
Fees Relating to the NASD Alternative Display Facility
This rule filing was withdrawn and replaced by SR-NASD-2003-19.
NASD has filed with the SEC a proposed rule change to amend NASD Interpretive Material 2260 ("IM-2260") regarding suggested rates of reimbursement for expenses incurred in forwarding proxy material, annual reports, information statements, and other material.
This rule filing was withdrawn and replaced by SR-NASD-2003-24.
NASD has filed with the SEC a proposed rule change to make technical changes to the NASD registration rules and to update its rules as part of its rule modernization initiative.
NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend NASD IM-1000-2 to codify the staff's position regarding the relief from Rule 1120, Continuing Education Requirements, for securities industry professionals who volunteer or are called into active military duty.
NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend NASD Rule 2260 to require a broker-dealer to make reasonable efforts to forward a communication from an issuer or a trustee regarding a debt security to the beneficial owner of such security. The proposed rule change would also clarify IM-2260 (Suggested Rate of Reimbursement) to reflect that, in forwarding proxies and
NASD has filed with the SEC a proposed rule change to require the posting of certain investor disclosure statements on members’ Web sites. Specifically, the proposed rule change would amend (1) Rule 2341 (Margin Disclosure Statement) to require members that permit customers to open accounts on-line or to engage in transactions in securities on-line to post the margin disclosure statement on their
