NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 6740 to (1) relieve members of the obligation to file with NASD copies of certain information that is electronically accessible through the SEC's Electronic Data Gathering, Analysis, and Retrieval ("EDGAR") system; and (2) exclude from
NASD is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 2860 to extend a pilot program increasing certain options position and exercise limits for a pilot period.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to delay until no later than November 30, 2005 the implementation date of the recent revisions to the Limited Principal - Registered Options (Series 4) examination program. NASD is not proposing any textual changes to the By-Laws, Schedules to the By-
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Interpretive Material (IM) 10104 of the NASD Code of Arbitration Procedure ("Code") to provide payment to arbitrators for deciding discovery-related motions without a hearing.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend the arbitration fees applicable to certain statutory employment discrimination claims.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to: (1) amend NASD Rule 3110(f)(2)(B) to conform to the SEC's recordkeeping rules by extending the time period for delivery of a copy of a customer account agreement containing a predispute arbitration clause from the time of signing to within 30 days of
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 1050 to create an exemption from the Research Analyst Qualification Examination (Series 86 and 87) for certain research analysts employed by foreign affiliates of a member who contribute to the preparation of a member's research reports.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Rule 2860 to increase certain options position limits for a pilot period and to expand the available equity option hedge exemptions to include "reverse collars."
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend paragraph (L) of NASD Rule 3010(b)(2) ("Taping Rule" or "Rule") to (1) require member firms that are seeking an exemption from the Rule to submit their exemption requests to NASD within 30 days of receiving notice from NASD or obtaining actual
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to provide written explanations in arbitration awards upon the request of customers, or of associated persons in industry controversies.
