NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to NASD's Plan of Allocation and Delegation of Functions by NASD to Subsidiaries ("Delegation Plan") and certain NASD rules to reflect NASD's direct authority for the activities related to or in support of trading in over-the-counter ("OTC")
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend the Plan of Allocation and Delegation of Functions by NASD to Subsidiaries ("Delegation Plan"), NASD By-Laws, NASD Regulation By-Laws, NASD Dispute Resolution By-Laws, and NASD rules to reflect Nasdaq's separation from NASD upon Nasdaq's
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Article VIII (District Committees and District Nominating Committees) of the By-Laws of NASD Regulation, Inc. to clarify the qualification requirements for candidates to NASD District Committees and District Nominating Committees and to establish procedures for
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to extend through December 31, 2005, 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").
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 3012 to require members relying on the "limited size and resources" exception to Rule 3012's general supervisory requirement for conducting producing managers' supervisory reviews to report electronically to NASD their reliance on the
Proposed Rule Change to Amend Rule 7010(k)(3) Relating to Definition of "Non-Professional" and Use of TRACE Transaction Data
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule to establish new NASD Rule 2290 to address disclosures and procedures concerning the issuance of fairness opinions.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to revise Rule 10322 of the NASD Code of Arbitration Procedure, which pertains to subpoenas and the power to direct appearances.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend the definition of "Non-Professional" in Rule 7010(k)(3)(C)(i), relating to Transaction Reporting and Compliance Engine ("TRACE") transaction data and fees, and add new Rule 7010(k)(3)(A)(iv) to clarify that a natural person who receives and
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to rescind the pilot rule in IM-10100(f) of the NASD Code of Arbitration Procedure relating to the waiver of the California Ethics Standards for Neutral Arbitrators in Contractual Arbitration.
