NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") this proposed rule change to adopt a new NASD Rule 7000C Series relating to fees and credits for the Trade Reporting Facility (the "NASD/NSX TRF") established by NASD and the National Stock Exchange ("NSX").
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 2220 (Options Communications with the Public) to reflect current options communications practices and promote consistency across the options communications rules of other self-regulatory organizations ("SROs").This rule filing was withdrawn and
NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend NASD Code of Procedure Rule 9216 and NASD Code of Procedure Rule 9270. The purpose of the proposed rule change is to substitute for Office of General Counsel review of proposed Acceptance, Waivers and Consents (AWCs) and proposed violation letters under the minor rule violation plan pursuant to SEC Rule 19d-1(c)(2)
NASD Regulation, Inc., has filed with the SEC a proposed rule change expressly interpreting NASD Rule 2110 to prohibit members from interfering with a customer’s request to transfer his or her account in connection with the change in employment of the customer’s registered representative, provided that the account is not subject to any lien for monies owed by the customer or other bona fide claim
NASD Regulation, Inc., has filed with the SEC a proposed rule change to make certain changes to the NASDR By-Laws in order to conform the NASD Regulation, Inc. By-Laws to the NASD By-Laws and to increase the maximum size of the NASD Regulation Board. As such, the proposed rule change is immediately effective pursuant to Section 19(b)(3)(A) of the Act.
NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend the definitions of "broker" and "dealer" in the By-Laws of NASD Regulation to conform to the definitions of "broker" and "dealer" in the Act. Under the proposed rule change, the definitions of "broker" and "dealer" in the NASD Regulation By-Laws would
NASD Regulation, Inc., has filed with the SEC a Notice to Members 01-23 reminding members that they have suitability obligations when they make recommendations to customers online.
NASD Regulation, Inc., has filed with the SEC the examination specifications and study outline for the Limited Representative-Private Securities Offerings (Series 82) examination program. The Series 82 examination program is proposed in connection with a proposed change to NASD Rule 1032 to implement Section 203 of the Gramm-Leach-Bliley Act of 1999 ("GLBA"), which requires the NASD, as
NASD Regulation, Inc., has filed with the SEC a proposed rule change to Rule 2710 of the Conduct Rules of the NASD (the "Corporate Financing Rule" or "Rule") to require that members submit information on public offerings of securities to the Corporate Financing Department of the NASD Regulation ("Department") through an electronic filing system.
NASD Regulation, Inc., has filed with the SEC a proposed rule change to make certain amendments to the NASD Regulation By-Laws in order to change the term of office of members of the National Adjudicatory Council from two years, with the opportunity to serve no more than two consecutive terms, to a single three-year term.
