Options Position Limits - Exemption for OTC Derivatives Dealers
Disclosure and Consent Requirements When Trading on a Net Basis With Customers
NASD has filed with the SEC a proposed rule change to amend NASD Rule 9522 to permit NASD's Department of Member Regulation ("Member Regulation") to approve MC-400 Applications of disqualified persons whose functions will be purely clerical and/or ministerial in nature.
Amendments to Rule 2320(g) and Rule 3110(b)(2) Relating to Foreign Securities
Proposed Rule Change Relating to Section 3 of Schedule A to the NASD By-Laws; Filed for Immediate Effectiveness
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
The NASD, through its wholly owned subsidiary, NASD Dispute Resolution, Inc., has filed with the SEC a proposed rule change to amend Rule 10301of the NASD Code of Arbitration Procedure to prohibit a firm that has been terminated, suspended, or barred from the NASD, or that is otherwise defunct, from enforcing a predispute arbitration agreement against a customer in the NASD arbitration forum.
The NASD, through its wholly owned subsidiary, NASD Dispute Resolution, Inc., has filed with the SEC a proposed rule change to amend the Code of Arbitration Procedure ("Code") to simplify or clarify several fee-related provisions of the Code.
The NASD, through its wholly owned subsidiary, NASD Dispute Resolution, Inc., has filed with the SEC a proposed rule change to amend Rule 10333 of the Code of Arbitration Procedure to raise member surcharges, and hearing and prehearing process fees paid by members.
NASD has filed with the SEC a proposed rule change to extend the pilot rule in IM-10100, paragraphs (f) and (g), of the NASD Code of Arbitration Procedure (Code) to require 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 of statutory employment