NASD has filed with the SEC a proposed rule change to: (1) amend Rule 6210(a) to clarify certain terms used in the definition, “TRACE-eligible security”; (2) amend NASD Rule 6230(e)(2) to expand the trade reporting exemption to qualifying transactions in any TRACE-eligible security that is listed and quoted on the Nasdaq Stock Market, Inc.(“Nasdaq”); and (3) make conforming amendments to the defined term, “reportable TRACE transaction,” in Rule 6210(c). Rules 6210 and 6230 are part of the Trade Reporting and Compliance Engine (“TRACE”) rules.
|Text of Proposed Rule Change||(PDF 35 KB)|
|Federal Register Notice||(PDF 35 KB)|
|Consent to Extension of Time and Response to Comments||(PDF 19 KB)|
|Exhibit A -- Consent to Extension of Time and Response to Comment||(PDF 6 KB)|
|Consent to Extension of Time and Additional Response to Comments||(PDF 12 KB)|
|Supplement to Letter dated March 10, 2004, and Extension of Time||(PDF 9 KB)|
|Approval Order||(PDF 55 KB)|