 |
| |
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 |
