This filing was withdrawn and replaced by SR-NASD-2006-007.NASD has filed with the SEC a proposed rule change to amend Rule 2860 to: (a) revise the definition of the term "underlying index" to include all indexes underlying standardized index options and other indexes that meet certain specified criteria; and (b) allow members to calculate the position limits, in accordance with volume
NASDR has filed with the SEC a proposed rule change to amend Rule 3110(f) of the NASD governing the use of predispute arbitration agreements with customers.
NASDR has filed with the SEC a proposed rule change to add a new Membership Rule that would provide members of the National Association of Securities Dealers, Inc. with a qualified immunity in arbitration proceedings for statements made in good faith in certain disclosures filed with the NASD on Forms U-4 and U-5, the uniform registration and termination notices for registered persons.
NASDR has filed with the SEC proposed new Interpretive Material 2210-5 and conforming amendments to existing IM 2210-2 and Conduct Rule 2210 of the National Association of Securities Dealers, Inc., relating to the Presentation of Mutual Fund and Variable Contract Related Performance Information.
NASDR has filed with the SEC a proposed rule change to amend Rule 2860(b)(3)(A)(vii)(c) of the National Association of Securities Dealers, Inc. to extend, until December 31, 1999, the Association's pilot program for exemptions from equity option position limits for certain hedged positions ("hedge exemption pilot program").
NASDR has filed with the SEC a proposed rule change to the Code of Arbitration Procedure (Code) of the National Association of Securities Dealers, Inc. to change the interpretation of the Code such that claims relating to transactions in exempted securities, including government and municipal securities, may be submitted to the Office of Dispute Resolution (Office) for arbitration under the NASD
NASDR has filed with the SEC a proposed rule change to Rule 9120(v) and Rule 9331 of the Rules of the National Association of Securities Dealers, Inc. to clarify that current and former members of the National Adjudicatory Council may serve as Panelists on a Subcommittee or an Extended Proceeding Committee in the appeal or review of disciplinary proceedings undertaken pursuant to the Rule 9300
NASDR has filed with the SEC a proposed rule change to amend Rule 2820 (the "Variable Contracts Rule") and Rule 2830 (the "Investment Company Rule") of the Conduct Rules of the National Association of Securities Dealers, Inc. The Investment Company Rule would be amended to: (1) provide maximum aggregate sales charge limits for fund of funds arrangements; (2) permit mutual
NASDR has filed with the SEC a proposed rule change to amend Rule 2860(b) of the National Association of Securities Dealers, Inc. to establish that NASD member firms and their customers shall have the same position and exercise limits for FLEX Equity Options as the firms that are members of the exchange on which such FLEX Equity Options trade.
NASDR has filed with the SEC a proposed rule change to Rule 11860 of the Uniform Practice Code of the National Association of Securities Dealers, Inc. to permit members to use the facilities of a Qualified Electronic Vendor for electronic confirmation and affirmation of depository eligible transactions.
