NASD has filed with the SEC a proposed rule change to amend NASD Rule 1022 to establish certain qualification requirements for supervisors of research analysts. More specifically, the proposed rule change would require supervisors of research analysts to pass the regulatory part (Series 87) of the Research Analyst Qualification Examination or the Series 16 Supervisory Analyst Examination
NASD has filed with the SEC a proposed rule change to amend NASD Rule 11870 to make the procedures for non-standard transfers of customer account assets through the Automated Customer Account Transfer Service ("ACATS") consistent with the procedures for transferring security account assets in their entirety unless the customer authorizes alternative instructions to transfer specifically
NASD has filed with the SEC a proposed rule change to amend NASD Rule 6230(a) to reduce the period to report a transaction in a TRACE-eligible debt security in two stages: (i) from 45 to 30 minutes in stage one, and (ii) subsequently, from 30 to 15 minutes in stage two. Rule 6230 is one of the Trade Reporting and Compliance Engine (“TRACE”) rules.
Proposed Amendment to Rule Relating to Execution of Investment Company Portfolio Transactions
To Establish Effective Date for Recently Amended Provisions of NASD Rule 2711(h)(2)
To Establish Effective Date for NASD Rule 1050, Registration of Research Analysts
On January 26, 2004, NASD filed with the SEC a proposed rule change for immediate effectiveness that would extend the NASD Alternative Display Facility pilot program until October 26, 2004.
NASD has filed with the SEC a proposed rule change to adopt Interpretative Material 3150 ("IM-3150") to establish exemptions from the reporting requirements of NASD Rule 3150.
Amendment to NASD Rule 1050 Related to Registration and Qualification of Research Analysts
To Establish Effective Date for NASD Rule 3370, Affirmative Determination Requirements