SR-NASD-2007-028
Proposed Rule Change to Amend Rules 6951 and 6954 Regarding the Order Audit Trail System
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rules 6951 and 6954 to require members that transmit an intermarket sweep order ("ISO") to another member, electronic communications network, non-member, or exchange to record and report the fact that the order was an ISO.
| Text of Proposed Rule Change | (PDF 65 KB) |
| Amendment No. 1 to Proposed Rule Change | (PDF 26 KB) |
| Federal Register Notice | (PDF 66 KB) |
| Approval Order | (PDF 53 KB) |