SR-NASD-1999-037
Hard to Borrow List
NASDR has filed with the SEC a proposed rule change to amend NASD Rule 3370 to permit the use of a "Hard to Borrow" list to comply with the affirmative determination requirement for short sales.
| Text of Proposed Rule Change | (PDF 32 KB) |
| Amendment No. 1 to Proposed Rule Change | (PDF 31 KB) |
| Amendment No. 2 to Proposed Rule Change | (PDF 6 KB) |
| Federal Register Notice | (PDF 126 KB) |
| Approval Order | (PDF 127 KB) |
