NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 7002B to establish a fee for reports that are submitted to the NASD/Nasdaq Trade Reporting Facility (the "NASD/Nasdaq TRF") to process transaction fees charged by one member to another member pursuant to Rule 6130(h). In addition, NASD is
NASD is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend NASD Rule 2711 regarding a member’s disclosure and supervisory review obligations when it distributes or makes available third-party research reports.
This rule filing was withdrawn.
NASD is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend NASD Rule 3013 and accompanying Interpretive Material 3013 to permit members to designate co-chief executive officers and multiple chief compliance officers to discharge the requirements of those rules.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 2210 (Communications with the Public) to create an exception from the principal approval requirements for certain filed sales material.
This rule filing was withdrawn and replaced with SR-FINRA-2007-020
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend certain NASD rules and repeal Rule 5100 and IM-5100 in light of the elimination of SEC Rule 10a-1 of the Act and the amendments to Regulation SHO under the Act.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to extend through July 31, 2008 the portfolio margin pilot program set forth in Rule 2520(g). The portfolio margin pilot program permits members to margin certain products according to a prescribed portfolio margin methodology and is set to expire on July 31, 2007.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 2860 to expand the class of entities permitted to use the delta hedging exemption from equity options position limits.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") this proposed rule change to amend NASD Rule 7001C (Securities Transaction Credit) to increase to 100% the percentage of New York Stock Exchange ("Tape A"), American Stock Exchange ("Tape B") and Nasdaq Exchange ("Tape C") revenue shared with NASD members reporting
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to delay, until October 31, 2007, implementation of an amendment to Interpretive Material 2210-4 ("IM 2210-4") that is scheduled to be implemented on July 7, 2007. The recent amendment to IM-2210-4 requires an NASD member referring to its NASD membership on its
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend the minimum price-improvement standards set forth in NASD Interpretive Material (IM) 2110-2, Trading Ahead of Customer Limit Order.
