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NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Rule 2860 to extend a pilot program increasing certain options position and exercise limits.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Section 7 of Schedule A to the NASD By-Laws to adjust fees for filing documents pursuant to Rule 2710 (Corporate Financing Rule - Underwriting Terms and Arrangements).
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule to operate NASD's Alternative Display Facility ("ADF") on a permanent basis, rather than on a pilot basis. The ADF pilot program is scheduled to expire on January 26, 2007.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 7010(k) relating to Transaction Reporting and Compliance Engine ("TRACE") transaction data to amend Rule 7010(k)(3)(A)(ii) to offer the ability to receive, for a reduced fee, a "snapshot" of real-time TRACE transaction data ("
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") this proposed rule change to adopt a new NASD Rule 7000D Series relating to fees and credits for the Trade Reporting Facility (the "NASD/BSE TRF") established by NASD and the Boston Stock Exchange ("BSE")
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to make conforming changes to the transaction reporting rules relating to the NASD/Nasdaq Trade Reporting Facility (the "NASD/Nasdaq TRF") consistent with the new requirements of Regulation NMS under the Act.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rules 4130A, 4300A, 4613A, 4617A, and 4632A regarding the Alternative Display Facility ("ADF"). Specifically, the proposed rule change expands the prohibition on locking or crossing quotations in NMS stocks to include pre-opening and post-closing
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 7010 to modify pricing for NASD members using the ITS/CAES System and Inet facility, which are currently operated by The Nasdaq Stock Market, Inc. and its subsidiaries ("Nasdaq") as facilities of NASD.
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 remove unnecessary cross references and correct a grammatical error in Rule 10308(a)(5)(B).
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change relating to a phased implementation of SR-NASD-2006-104, which was approved by the Commission on November 21, 2006. Specifically, NASD is proposing to implement on December 20, 2006 amendments to the Plan of Allocation and Delegation of Functions by NASD to Subsidiaries (