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.

DateTitleFormat - SizeStatus
3/19/2001Text of Proposed Rule ChangePDF - 22.31 KB
5/9/2001Federal Register NoticePDF - 39.68 KB
6/4/2001Amendment No. 1 to Proposed Rule ChangePDF - 12.44 KB
10/31/2001Amendment No. 2 to Proposed Rule ChangePDF - 25.68 KB
12/5/2001Approval OrderPDF - 55.1 KB