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The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to Rules 2520 and 2522 that will revise the margin requirements to: (1) expand the types of short options positions that would be considered "covered" in a cash account, specifically, certain short positions that are components of limited risk spread strategies, provided
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend Rules 2320(g) and 3110(b) to: (1) require that members executing a customer order in a non-Nasdaq security contact and obtain quotations from three dealers (or all dealers if three or less) to determine the best inter-dealer market for the security, unless two or more
On April 24, 2000, NASD Regulation issued an new interpretation under NASD Rule 2110, Standards of Commercial Honor and Principles of Trade, to require a member that provides a written confirmation for a transaction involving callable common stock to disclose on the confirmation that the security is callable and that the customer may wish to contact the member for more information regarding the
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend NASD Rule 2860 to: (1) apply the NASD's options position and exercise limits to members that effect trades for non-member brokers and non-member dealers; (2) require members to report the options positions that they effect for non-member brokers and non-member dealers
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to require clearing firms and market makers that are members of the NASD to conduct or to participate in the testing of their computer systems to ascertain decimal pricing conversion compatibility of those systems.
NASDR has filed with the SEC a proposed rule change to amend Rule 6957 to extend the effective date of the implementation of Phase Three of the Order Audit Trail System Rules to December 15, 2000.
Delivery of a Margin Disclosure Statement to Non-Institutional Customers
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend NASD Uniform Practice Code Rule 11870(e) to require that following the validation of a transfer instruction, the carrying member must complete the transfer of customer account(s) to the receiving member within three business days instead of four business days.
Proposed Rule Change Relating to the Operation of NASD's Alternative Display Facility as a Temporary Pilot
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 (GIA). The proposed restructuring is comprised of four important amendments: 1)