Rules 3115 and 3340 - Audit Trail and Trading Halt Requirements for Security Futures

NASD Regulation, Inc., has filed with the SEC a proposed rule change to add NASD Rule 3115 and to amend NASD Rule 3340 to establish record-keeping requirements for Alternative Trading Systems ("ATSs") that trade security futures, and to require ATSs to coordinate trading halts with markets trading the underlying securities and markets trading related securities.

TitleFormat - SizeStatus
Text of proposed rule changePDF - 39.97 KB
Federal Register NoticePDF - 45.02 KB
Amendment No. 1 to Proposed Rule ChangePDF - 12.88 KB
Approval OrderPDF - 49.1 KB