SR-NASD-2001-019

Reporting Requirements for Clearing Members

NASD Regulation, Inc., has filed with the SEC a proposed rule change to adopt a new Rule 3150 to require all members that are clearing firms to report certain data to the NASD Regulation Department of Member Regulation on a daily basis.

Text of Proposed Rule Change (PDF 23 KB)
Federal Register Notice (PDF 40 KB)
Amendment No. 1 to Proposed Rule Change (PDF 13 KB)
Amendment No. 2 to Proposed Rule Change (PDF 26 KB)
Approval Order (PDF 56 KB)