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NASD has filed with the SEC a proposed rule change to amend Section 4 of Schedule A to the NASD By-Laws to reduce fees for the Regulatory Element of the continuing education requirements of Rule 1120.
NASD, through its wholly owned subsidiary, NASD Dispute Resolution, Inc. ("NASD Dispute Resolution"), is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend the NASD Code of Arbitration Procedure for Customer Disputes ("Customer Code"), NASD Code of Arbitration Procedure for Industry Disputes ("
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") this proposed rule change to adopt a new NASD Rule 7000E Series relating to fees and credits for the NASD/NYSE Trade Reporting Facility (the "NASD/NYSE TRF").
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to correct a typographical error in NASD Rule 2520 (Margin Requirements). In particular, the proposed rule change would amend NASD Rule 2520 to re-label a subparagraph that was incorrectly identified as part of a recent rule filing.
Proposed Rule Change to Amend the By-Laws of NASD to Implement Governance and Related Changes to Accommodate the Consolidation of the Member Firm Regulatory Functions of NASD and NYSE Regulation, Inc.
NASD, through its wholly owned subsidiary, NASD Dispute Resolution, Inc. ("NASD Dispute Resolution"), is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend the NASD Code of Mediation Procedure ("Mediation Code") to re-number the rules, update cross references, and re-insert rule language that had been
NASD, through its wholly owned subsidiary, NASD Dispute Resolution, Inc. ("NASD Dispute Resolution"), is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend the Code of Arbitration Procedure for Customer Disputes ("Customer Code") and the Code of Arbitration Procedure for Industry Disputes ("
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to revise the implementation date of certain amendments to the NASD/Nasdaq Trade Reporting Facility (the "NASD/Nasdaq TRF") rules that were previously proposed by NASD pursuant to SR-NASD-2007-002. Specifically, NASD is proposing to implement the amendments to
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to establish February 4, 2008, as the effective date of the amendments to NASD Rules 6951, 6952, and 6955 that the Commission approved on October 10, 2006. The amendments expand the Order Audit Trail System ("OATS") reporting requirements to over-the-counter (
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend the NASD Rule 7000 Series (Charges for Services and Equipment) to delete references to systems and services that will no longer be provided by NASD upon the operation of NASD's Alternative Display Facility (the "ADF") for non-Nasdaq exchange-listed