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.
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
