NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 6620 to codify existing guidance regarding members' trade reporting obligations with respect to foreign equity securities.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 6540(c) to exclude from the access fee display requirements access fees below a specified level.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rules 6951 and 6954 to require members that transmit an intermarket sweep order ("ISO") to another member, electronic communications network, non-member, or exchange to record and report the fact that the order was an ISO.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to allow member firms to voluntarily submit, within six months of the effective date of this rule proposal, funds previously accumulated by member firms to satisfy their, and subsequently NASD's, obligation to remit SEC Section 31-related fees, to NASD.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Section 4 of Schedule A to the NASD By-Laws ("Schedule A") to increase examination fees that shall be assessed on persons taking certain qualification examinations as of January 1, 2006.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Section 4 of Schedule A to the NASD By-Laws to increase the session fee for the Regulatory Element of the continuing education requirements of Rule 1120.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend: (1 ) NASD Rule 6210(a), the definition of "TRACE-eligible security," by (A) deleting the requirement that a debt security be registered under the Securities Act of 1933 ("Securities Act"), thus including debt securities that are
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to repeal NASD Rule 6440(f) in light of proposed rule changes that have recently been approved by the Commission expanding market order protection and limit order protection to exchange-listed securities.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 6250 of the Trade Reporting and Compliance Engine ("TRACE") rules to disseminate immediately upon receipt transaction information on TRACE-eligible securities, except transactions effected pursuant to Rule 144A under the Securities Act of 1933
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 3012 (Supervisory Control System), Rule 3013 (Annual Certification of Compliance and Supervisory Processes), and IM-3013 (Annual Compliance and Supervision Certification) to allow members, by no later than April 1, 2006, to submit the initial annual
