NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt rules relating to a new Trade Reporting Facility (the "NASD/BSE TRF") to be established by NASD, in conjunction with the Boston Stock Exchange ("BSE"), that would provide members another mechanism for reporting trades in exchange-listed
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rules 1050 and 2711 to implement certain recommendations contained in the December 2005 Joint Report by NASD and the NYSE on the Operation and Effectiveness of the Research Analyst Conflict of Interest Rules. The proposed rule change is intended to improve
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 2711 to codify NASD's existing interpretive guidance relating to certain provisions of the rule and to make several non-substantive, technical changes to clarify the rule's intended meaning.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to NASD Rule 9559(s) to amend the reference to the Commission’s review of NASD decisions in expedited proceedings pursuant to Section 19 of the Act by deleting the more specific reference to paragraph (f) of Section 19 and replacing it with a broader reference to Section
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to 1) amend Rule 6230 to initiate a two-year pilot program exempting certain TRACE-eligible securities from reporting requirements that otherwise would apply, and 2) amend Rule 6210 and 6230 to reflect the registration of the Nasdaq Stock Market, Inc. as a national
"NASD", through its wholly owned subsidiary, NASD Dispute Resolution, Inc. ("NASD Dispute Resolution"), is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend the proposed Code of Arbitration Procedure for Customer Disputes ("Customer Code"), the proposed Code of Arbitration Procedure for
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt rules relating to a new Trade Reporting Facility (the "NASD/NSX TRF") to be established by NASD, in conjunction with the National Stock Exchange ("NSX"), that would provide members another mechanism for reporting trades in Nasdaq-listed equity
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rules 2210 and IM-2210-6 to clarify the filing requirements for communications concerning investment analysis tools.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to (1) delete the Nasdaq By-Laws and amend the Plan of Allocation and Delegation of Functions by NASD to Subsidiaries ("Delegation Plan"), the By-Laws of NASD, NASD Regulation and NASD Dispute Resolution, and NASD rules to reflect The Nasdaq Stock Market Inc.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change: (1) to adopt NASD IM-6230, providing for exemptive relief from various reporting requirements for transactions in TRACE-eligible securities executed in connection with the termination or settlement of a credit default swap ("CDS") or a similar instrument; and (2
