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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 |
