NASD has filed with the SEC a proposed rule change to Schedule A to NASD By-Laws to amend its member regulatory pricing structure. Under the current structure, three types of fees and assessments are used to fund NASD’s member regulatory activities: Regulatory Fee, Personnel Assessment, and Gross Income Assessment. The proposed restructuring is comprised of four important amendments: 1) eliminate
NASD has filed with the SEC a proposed rule change to establish NASD Rule 1043, a new registration category for proctors of in-firm delivery of the Regulatory Element of NASD’s continuing education requirements.
NASD has filed with the SEC a proposed rule change a proposed rule change to amend NASD Rule 2260 to expand the definition of "designated investment adviser" to include all state registered investment advisers.
NASD has filed with the SEC a proposed rule change to amend NASD Rule 3011 to require each member to provide to NASD contact information for the individual or individuals responsible for implementing and monitoring the day-to-day operations and internal controls of the member’s anti-money laundering ("AML") compliance program ("AML Program").
NASD has filed with the SEC a proposed rule change to amend Schedule A to NASD By-Laws to amend its member regulatory pricing structure. Under the structure this rule proposal is intended to change, three types of fees and assessments are used to fund NASD's member regulatory activities: Regulatory Fee, Personnel Assessment, and Gross Income Assessment.
NASD has filed with the SEC a proposed rule change to delay, until February 1, 2004, the implementation date of amendments to Article VIII (District Committees and District Nominating Committees) of the By-Laws of NASD Regulation, Inc. that were established by SR-NASD-2003-55. On March 21, 2003, NASD filed SR-NASD-2003-55 to streamline the nomination and election processes governing NASD District
NASD has filed with the SEC a proposed rule change to amend NASD Rules 1014 and 1017. The proposed amendments to Rule 1014 would clarify the current standards of membership admission by specifically identifying as a decisional criteria the existence of unpaid arbitration awards or other adjudicated customer awards, as well as pending arbitration claims, and expand the application of Rule 1014 to
NASD has filed with the SEC a proposed rule change to amend the NASD Rule 7000A Series relating to transaction and quotation related fees applicable to activities in the NASD’s Alternative Display Facility ("ADF"). Pursuant to Section 19(b)(3)(A) of the Act and subparagraph (f) of Rule 19b-4 thereunder, the proposed rule change will become immediately effective upon Commission receipt
NASD has filed with the SEC a proposed rule change to amend Section 9 of Schedule A of the NASD By-Laws ("Section 9") to: (1) delete current Section 9 regarding subscription charges for Firm Access Query System (FAQS); and (2) establish subscription charges for NASD member firms that choose to use Web CRD Electronic File Transfer system for registration batch filing and/or data download
NASD has filed with the SEC a proposed rule change to amend NASD Interpretive Material 2260 ("IM-2260") regarding rates of reimbursement for expenses incurred in forwarding proxy material, annual reports, information statements, and other material.
