SR-NASD-2001-047

Rules 3115 and 3340 - Audit Trail and Trading Halt Requirements for Security Futures

NASD Regulation, Inc., has filed with the SEC a proposed rule change to add NASD Rule 3115 and to amend NASD Rule 3340 to establish record-keeping requirements for Alternative Trading Systems ("ATSs") that trade security futures, and to require ATSs to coordinate trading halts with markets trading the underlying securities and markets trading related securities.