NASD has filed with the SEC a proposed rule change to prohibit a member from trading ahead of a customer market order and to require the crossing of customer market orders, if the customer market order has not been executed fully and promptly.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") proposed NASD Rule 2342, which would require members to advise all new customers, in writing, at the opening of an account, and all customers at least once each year that they may obtain information about the Securities Investor Protection Corporation ("SIPC"), including the SIPC
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 11890 (Clearly Erroneous Transactions) to allow any NASD officer designated by an Executive Vice President of NASD's Market Regulation Department or an Executive Vice President of NASD's Transparency Services Department to, on his or her own
NASD is filing with the Securities and Exchange Commission (''SEC'' or ''Commission'') a proposed rule change to extend the hours of operation of (1) the Trade Reporting Facility established by NASD and the Nasdaq Stock Market, Inc. (the ''NASD/Nasdaq TRF''); (2) the trade reporting of non-Nasdaq exchange-listed securities under the Rule
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 1022 (Categories of Principal Registration) and NASD Rule 1032 (Categories of Representative Registration) to extend to December 31, 2009 the date by which eligible registrants must complete a firm-element continuing education program to qualify to
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
