NASD Notice to Members 01-41 - June 2001

SEC Approves PORTAL Rule Amendments

Executive Summary

Nasdaq® is publishing a list of PORTAL®-designated equity securities for the reporting requirements of PORTAL equity transactions that will be effective on June 16, 2001.

 

On March 6, 2001, the Securities and Exchange Commission (SEC) approved amendments to the rules of The PORTAL Market (PORTAL Rules) to require that National Association of Securities Dealers, Inc. (NASD® or Association) members submit trade reports of secondary market transactions in PORTAL-designated equity securities through the Automated Confirmation Transaction Service® (ACT).

 

Additional information regarding trade reporting may be obtained by contacting Nasdaq MarketWatch at (800) 211-4953.