NASDR has filed with the SEC a proposed rule change to Rule 2210 of the Conduct Rules of the National Association of Securities Dealers, Inc. to permit the approval of research reports by a supervisory analyst of the New York Stock Exchange to satisfy NASD requirements that research reports be approved by a registered principal.
NASDR has filed with the SEC a proposed rule change to its By-Laws authorizing at-large Industry members of the National Adjudicatory Council.
NASDR has filed with the SEC a proposed rule change to amend Rule 10308 of the National Association of Securities Dealers, Inc. to set forth new procedures to be used to select arbitrators for arbitrations involving public customers. Under the new procedures, NASD Regulation will allow the parties to an arbitration to rank arbitrators from lists generated primarily using an automated process,
NASDR has filed with the SEC a proposed rule change to amend Rules 0120, 2210, 2220, 2320, 8210, the Rule 8220 Series, IM-8310-2, 9212, 9215, 9241, 9269, 9270, 9312, 9346, 9360, the Rule 9500 Series, and 9610 of the National Association of Securities Dealers, Inc. to permit the Department of Enforcement to amend complaints, without Hearing Officer approval, prior to the filing of responsive
NASDR has filed with the SEC a proposed rule change to amend Rules 9269 and 9360 of the National Association of Securities Dealers, Inc. to eliminate the requirement for personal service of decisions in cases involving bars and expulsions. NASD Regulation is also filing, concurrently, related proposed rule changes in File No. SR-NASD-1998-057.
Please review SR-NASD-1998-057 for:
Amendment No
NASDR has filed with the SEC a proposed rule change to require certain NASD members to conduct or to participate in computer tests designed to address the Year 2000 problem.
NASDR has filed with the SEC a proposed rule change to change the effective date of SR-NASD 98-29, which amended Rule 2210 of the Conduct Rules of the NASD to require that written or electronic communications prepared for a single customer be subject to the general standards and those specific standards of Rule 2210 that prohibit misleading statements.
NASDR has filed with the SEC a proposed rule change to create the Rule 9800 Series and to amend certain existing rules of the NASD that would establish procedures to enable NASD Regulation to issue temporary cease and desist orders. The proposed rule change also would grant NASD Regulation authority to take expedited disciplinary actions when temporary or permanent cease and desist orders are
NASDR has filed with the SEC a proposed rule change to Rule 2710 of NASD to exempt offerings of charitable organizations from the filing requirements of that rule.
NASDR has filed with the SEC a proposed rule change to amend Rules 9120 and 9211 of the NASD to provide for the Office of Disciplinary Affairs of NASD Regulation to authorize all disciplinary actions.
