NASD has filed with the SEC a proposed rule change to repeal Rule 4613A(e)(1), which requires members that display priced quotations for a Nasdaq security on multiple market centers to display the same-priced quotations on each market center.
NASD has filed with the SEC a proposed rule change to amend Rule 4613A(c) to clarify that NASD may suspend quotations in NASD’s Alternative Display Facility ("ADF”) displayed by any market participant, including an electronic communication network ("ECN”), that are no longer reasonably related to the prevailing market.
NASD has filed with the SEC a proposed rule change to: (1) amend Rule 6210(a) to clarify certain terms used in the definition, “TRACE-eligible security”; (2) amend NASD Rule 6230(e)(2) to expand the trade reporting exemption to qualifying transactions in any TRACE-eligible security that is listed and quoted on the Nasdaq Stock Market, Inc.(“Nasdaq”); and (3) make conforming amendments to the
NASD has filed with the SEC a proposed rule change to require members to review and, if necessary, update their executive representative designation and contact information on a quarterly basis.
Proposed Amendments to Require Price Improvement to Limit Orders in Certain Circumstances
This filing was withdrawn and replaced by SR-NASD-2006-007.NASD has filed with the SEC a proposed rule change to amend Rule 2860 to: (a) revise the definition of the term "underlying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").
