Proposed Amendments to Rule 6200 Series to Increase Dissemination

NASD has filed with the SEC a proposed rule change to amend: (1) Rule 6250 to provide for the dissemination of transaction information on additional Investment Grade TRACE-eligible securities under the Rule 6200 Series (also known as the Trade Reporting and Compliance Engine ("TRACE") Rules); (2) Rule 6230 and Rule 9610(a) to provide NASD staff the authority to grant exemptive relief from Rule 6230; (3) Rule 6210(e) to include the term "customer" in the defined term, "party to the transaction"; (4) Rule 6260 to make minor clarifications; and, (5) in the provisions referenced in (1) through (4) above, to delete the terms "Association" and "NASD Regulation" and to replace them with "NASD." Below is the text of the proposed rule change.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 56.74 KB
Amendment No. 1 to Proposed Rule ChangePDF - 57.19 KB
Federal Register NoticePDF - 52.86 KB
Approval OrderPDF - 40.58 KB