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.
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
