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SR-NASD-2006-005 |
Proposal to Expand the Scope of Rule 2440 and IM-2440 to Apply to All Securities Transactions with or for a Customer
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to expand the scope of Rule 2440 and Interpretive Material (IM) 2440 relating to fair prices and commissions to apply to all securities transactions, whether executed over-the-counter ("OTC") or on an exchange.
| Text of Proposed Rule Change PDF 192 KB |
| Federal Register Notice PDF 55 KB |
| Response to Comments PDF 64 KB |
| Extension No. 1 PDF 24 KB |
| Extension No. 2 PDF 24 KB |
| Extension No. 3 PDF 20 KB |
| Amendment No. 1 to Proposed Rule Change PDF 23 KB |
Approval Order PDF 59 KB
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