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SR-NASD-2005-021 |
Guidance Regarding Members' Regulatory Transaction Fees
NASD has filed with the Securities and Exchange Commission (“SEC” or “Commission”) Notice to Members (“NtM”) 05-11 , providing further guidance regarding members’ obligations under Section 3 of Schedule A to the NASD By-Laws (Regulatory Transaction Fees) and a self-reporting form that is used by members to report trade data that is not captured by NASD’s trade reporting system.| Text of Proposed Rule Change PDF 163 KB |
| Notice of Filing and Immediate Effectiveness PDF 59 KB |
