NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD IM-1000-2 to (1) clarify that the scope of the relief provided in the IM extends to any registered person of a firm who volunteers for or is called into active military duty, not just registered representatives; (2) codify the staff's existing
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Section 4 of Schedule A to the NASD By-Laws ("Schedule A") to increase examination fees that shall be assessed on persons taking certain qualification examinations as of January 1, 2006.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Section 4 of Schedule A to the NASD By-Laws to increase the session fee for the Regulatory Element of the continuing education requirements of Rule 1120.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend: (1 ) NASD Rule 6210(a), the definition of "TRACE-eligible security," by (A) deleting the requirement that a debt security be registered under the Securities Act of 1933 ("Securities Act"), thus including debt securities that are
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to repeal NASD Rule 6440(f) in light of proposed rule changes that have recently been approved by the Commission expanding market order protection and limit order protection to exchange-listed securities.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 6250 of the Trade Reporting and Compliance Engine ("TRACE") rules to disseminate immediately upon receipt transaction information on TRACE-eligible securities, except transactions effected pursuant to Rule 144A under the Securities Act of 1933
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 3012 (Supervisory Control System), Rule 3013 (Annual Certification of Compliance and Supervisory Processes), and IM-3013 (Annual Compliance and Supervision Certification) to allow members, by no later than April 1, 2006, to submit the initial annual
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change seeking permanent approval of NASD Rule 2210(c)(3) and Interpretive Material 2210-5 (the "Rule"), which are now operating pursuant to a pilot program that expires on December 29, 2005.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 2810 to address the regulation of compensation, fees, and expenses in public offerings of real estate investments trusts and direct participation programs.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 3360 to expand the short interest reporting requirements to over-the-counter ("OTC") equity securities.
