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NASD has filed with the SEC a proposed rule change to make technical changes to the NASD registration rules and to update its rules as part of its rule modernization initiative.
NASD has filed with the SEC a proposal to extend until March 20, 2003, the effectiveness of the pilot program ("Pilot") amending NASD Rule 2520 ("Margin Requirements") to establish margin requirements for security futures contracts. The SEC approved the amendments on a pilot basis until March 6, 2003.
NASD has filed with the SEC a proposed rule change to amend NASD Rule 2340 to eliminate outdated and unnecessary references to SEC Rule 15c3-1 under the Securities Exchange Act of 1934.
NASD has filed with the SEC a proposed rule change to make permanent the amendments to NASD Rule 2520 ("Margin Requirements") for margin requirements for security futures contracts.
NASD has filed with the SEC a proposed rule change to amend NASD Rules to require members to request Underwriting Activity Reports ("UARs") from NASD’s Market Regulation Department rather than NASD’s Corporate Financing Department.
NASD has filed with the SEC a proposed rule change to amend NASD Rule 6230 to reduce the period to report a transaction in a TRACE-eligible debt security from 75 minutes to 45 minutes. Rule 6230 is one of the Trade Reporting and Compliance Engine ("TRACE") rules.
NASD has filed with the SEC a proposed rule change relating to the new General Securities Principal Sales Supervisor Module (“Series 23”) examination program. NASD is proposing to accept the General Securities Sales Supervisor (“Series 9/10”) examination as an acceptable qualification alternative to the General Securities Principal (“Series 24”) examination for associated persons who are required
NASD has filed with the SEC a proposed rule change to adopt NASD Rule 2370 to govern lending arrangements between registered persons and customers. SR-NASD-2003-92 replaces, in its entirety, File No. SR-NASD-2003-90.
NASD has filed with the SEC a proposed rule change to NASD By-Laws, Schedule A, Section 1(b)(3) to amend its Trading Activity Fee ("TAF"). NASD is amending the TAF to adjust the rates for covered equity securities. In addition, NASD is renumbering certain subsections included in Section 1.
NASD has filed with the SEC a proposed rule change to amend NASD Rule 2210 to reinsert certain existing rule language that was inadvertently omitted from amendments to Rule 2210 that the Commission recently approved.