Options Position Limits - Exemption for OTC Derivatives Dealers
Amendments to NASD Rule 2711 to Prohibit Participation by Research Analysts in Road Shows
NASD has filed with the SEC a proposed rule change to amend Section 4 of Schedule A to the NASD By-Laws to reduce fees for the Regulatory Element of the continuing education requirements of Rule 1120.
NASD has filed with the SEC a proposed rule change to extend retroactively to July 1, 2004, and prospectively through December 31, 2004, the current pilot price-improvement standards for decimalized securities contained in NASD Interpretive Material 2110-2 - Trading Ahead of Customer Limit Order ("Manning Interpretation" or "Manning"). Without such an extension, these
Amendments to Rule 2320(g) and Rule 3110(b)(2) Relating to Foreign Securities
NASD has filed with the SEC a proposed rule change to align certain supervisory control and inspection requirements in NASD Rules 3010 and 3012 with the supervisory control and inspection requirements in New York Stock Exchange ("NYSE") Rules 342.19 and 342(a)(b)/03. The SEC approved these rules on June 17, 2004. In addition, NASD is proposing several non-substantive technical
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed NASD Rule 2342, which would require members to advise all new customers, in writing, at the opening of an account, and all customers at least once each year that they may obtain information about the Securities Investor Protection Corporation ("SIPC"), including the
NASD has filed with the SEC a proposed rule change to amend NASD Rule 3010(a)(7) to require that registered principals, in addition to registered representatives, attend an annual compliance meeting. NASD also is proposing a technical amendment to Rule 3010(a) to clarify that each member is required to establish and maintain a system to supervise the activities of each registered
NASD has filed with the SEC a proposed rule change to amend NASD Rule 3360 to change references from "SEC Rule 3b-3" to "SEC Rule 200," thereby conforming the rule language in Rule 3360 in light of the SEC’s new short sale regulation, Regulation SHO.
NASD is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend NASD Rule 7010(k) to terminate the Bond Trade Dissemination Service (“BTDS”) Professional Delayed-Time Data Display Fee pilot program and the BTDS Non-Professional Real-Time Data Display fee, relating to Trade Reporting and Compliance Engine (“TRACE”) transaction data fees, and to
