Proposed Amendment to Rule 6260 New Issue Notification Procedures

NASD has filed with the SEC a proposed rule change to amend NASD Rule 6260(a) and (b) to require members to provide additional, descriptive information in the notice that is sent to NASD and identifies the basic terms of a new TRACE-eligible security (“new issue notification”), and to provide the information required in Rule 6250(b) to NASD by email or facsimile. Rule 6260 is one of the Trade Reporting and Compliance Engine (“TRACE”) rules.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 37.46 KB
Federal Register NoticePDF - 45 KB
Approval OrderPDF - 33.48 KB