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.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 22.31 KB
Federal Register NoticePDF - 39.68 KB
Amendment No. 1 to Proposed Rule ChangePDF - 12.44 KB
Amendment No. 2 to Proposed Rule ChangePDF - 25.68 KB
Approval OrderPDF - 55.1 KB