NASD has filed with the SEC a proposed rule change to amend Rules 4300A and 4619A(g) to give jurisdiction to NASD’s Market Regulation Committee to review system outage determinations under Rule 4300A(f) and excused withdrawal denials under Rule 4619A, respectively. The proposed rule change would apply during the time that the NASD Alternative Display Facility operates on a pilot basis.
NASD has filed with the SEC a proposed rule change to amend NASD’s Plan of Allocation and Delegation of Functions by NASD to Subsidiaries ("Delegation Plan") to remove The Nasdaq Stock Market, Inc.’s ("NASDAQ") representation of NASD in the NASDAQ/Unlisted Trading Privileges Plan ("UTP Plan").
NASD has filed with the SEC a proposed rule change to amend Schedule A of the NASD By-Laws to adjust the Trading Activity Fee ("TAF") rate for covered equity securities; to reduce the maximum per trade charge on covered equity securities; and to assess the TAF on corporate debt securities that, under the Trade Reporting and Compliance Engine ("TRACE") rules, are defined as
NASD has filed with the SEC a proposed rule change discussing the implementation of new and revised qualification examinations to address trading in security futures.
NASD has filed with the SEC a proposed rule change to amend NASD Rule 7010(k) relating to fees for the Trade Reporting and Compliance Engine ("TRACE") prior to the expiration of the pilot program for fees on February 28, 2003. NASD is proposing to extend the pilot program for TRACE fees to June 30, 2003, to provide a temporary reduction of certain fees for a one calendar month period
NASD has filed with the SEC a proposed rule change to extend the pilot program for the Trading Activity Fee (“TAF”) until April 1, 2003. The TAF pilot program (as originally proposed in SR-NASD-2002-98) is currently in effect and is set to expire on March 1, 2003. In a separate filing, NASD is requesting the SEC approve SR-NASD-2002-148, granting permanent approval of the TAF, prior to the
NASD has filed with the SEC a proposed rule change to amend NASD Rule 6250(a)(4) to increase the number of TRACE-eligible securities to be disseminated under the rule from 90 securities to up to 120 securities.
NASD has filed with the SEC a proposed rule change to amend Article VIII (District Committees and District Nominating Committees) of the By-Laws of NASD Regulation, Inc. to streamline the nomination and election processes governing District Committees and District Nominating Committees, modernize communication procedures, and improve the consistency among the Committees across all districts. In
NASD has filed with the SEC a proposed rule change to amend the Uniform Application for Securities Industry Registration or Transfer (Form U-4) and the Uniform Termination Notice for Securities Industry Termination (Form U-5) (collectively the "Forms").
NASD has filed with the SEC a proposed rule change to extend the pilot program for the Trading Activity Fee (“TAF”) through April 15, 2003. The TAF pilot program (as originally proposed in SR-NASD-2002-98) is currently in effect and is set to expire on April 1, 2003. NASD is requesting the SEC approve SR-NASD-2002-148, granting permanent approval of the TAF, prior to the expiration of the TAF
