NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rules 6130, 6130A, 6130C, 6130D and 6130E to prohibit members from submitting to an NASD Facility (i.e., the Alternative Display Facility ("ADF") or a Trade Reporting Facility) any report (including but not limited to reports of step-outs and
NASD is proposing to delay until November 26, 2007 the approved rule changes in SR-NASD-2005-146 that relate solely to the expansion of the scope of IM-2110-2 to OTC equity securities and the related deletion of Rule 6541. Certain other rule changes that were approved as part of SR-NASD-2005-146 will still become effective as scheduled on July 26, 2007.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rules 12100 and 13100 of the NASD Code of Arbitration Procedure for Customer Disputes ("Customer Code") and the NASD Code of Arbitration Procedure for Industry Disputes ("Industry Code") (together, the "Codes"), respectively, to
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") this proposed rule change to amend Rules 4632E and 6130E relating to the NASD/NYSE Trade Reporting Facility (the "NASD/NYSE TRF") to change the system closing time from 6:30 p.m. to 8:00 p.m. (Eastern Time), which conforms with the system closing time of the NASD/Nasdaq Trade Reporting
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to make a technical amendment to new NASD Rule 2342 (SIPC Information). The proposed rule change serves to clarify the categories of members that are excepted from the scope of the rule.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 11810(i) to mandate the use of the automated liability notification system of a registered clearing agency when issuing liability notices in connection with certain securities transactions, provided both parties to the contract are participants in a
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to create new NASD Rule 1160 (Firm Contact Information) regarding the reporting of designated contact information to NASD and the annual review of such information. The proposed rule change also would amend Rule 1120 (Continuing Education Requirements), Rule 1150 (
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to extend for an additional two-year period, to June 23, 2009, NASD's authority under the cease and desist pilot program. At this time, NASD is not proposing any substantive changes to the rules covered by the pilot program; the only changes regard extending the pilot
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt new Rule 5150 to provide NASD with authority to exempt members from certain new NASD trade reporting requirements for the Alternative Display Facility ("ADF") and the NASD Trade Reporting Facilities ("TRFs") relating to Regulation NMS.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") this proposed rule change to amend NASD Rule 7001E (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
