NASD has filed with the SEC a proposed rule change to (1) amend Article V, Section 4 of the NASD By-Laws to permit NASD to suspend for failure to pay an arbitration award or settlement, for a period of two years after the award is entered, former associated persons who terminated their registration before the award was entered; and (2) amend Article VI, Section 3 of the NASD By-Laws to clarify
NASD has filed with the SEC a proposed rule change to amend Rule 10304 of the NASD Code of Arbitration Procedure relating to time limits on the submission of claims in arbitration.
NASD has filed with the SEC a proposed rule change to amend Rule 10333(a) of the NASD Code of Arbitration Procedure ("Code") to provide that, in certain circumstances, NASD will refund the member surcharge paid by a member firm named as a party to an arbitration proceeding (or where its employee/former employee has been named as a party).
NASD has filed with the SEC a proposed rule change to amend Rules 10308 and 10312 of the NASD Code of Arbitration Procedure to further ensure that individuals with significant ties to the securities industry may not serve as public arbitrators in NASD arbitrations.
NASD has filed with the SEC a proposed rule change to extend the pilot rule in IM-10100(f) of the NASD Code of Arbitration Procedure ("Code") that requires industry parties in arbitration to waive application of contested California arbitrator disclosure standards upon the request of customers or, in industry cases, of associated persons with claims against member firms or other
Proposal to Increase the Fee for Panel Member Training
NASD has filed with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend NASD Rule 1050 to provide for an exemption from the analytical portion of the Research Analyst Qualification Examination (Series 86) for certain applicants who prepare only “technical research reports” and have passed Levels I and II of the Chartered Market Technician (“CMT”)
NASD, through its wholly owned subsidiary, NASD Dispute Resolution, Inc. ("NASD Dispute Resolution"), is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend the NASD Code of Arbitration Procedure for Customer Disputes ("Customer Code"), NASD Code of Arbitration Procedure for Industry Disputes ("
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") this proposed rule change to adopt a new NASD Rule 7000E Series relating to fees and credits for the NASD/NYSE Trade Reporting Facility (the "NASD/NYSE TRF").
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to correct a typographical error in NASD Rule 2520 (Margin Requirements). In particular, the proposed rule change would amend NASD Rule 2520 to re-label a subparagraph that was incorrectly identified as part of a recent rule filing.
