Amendments to Schedule A of the NASD By-Laws to Adjust the Trading Activity Fee Rate and Add TRACE-Eligible and Municipal Securities as Covered Securities

NASD has filed with the SEC a proposed rule change to amend Schedule A of the NASD By-Laws to adjust the Trading Activity Fee ("TAF") rate for covered equity securities; to reduce the maximum per trade charge on covered equity securities; and to assess the TAF on corporate debt securities that, under the Trade Reporting and Compliance Engine ("TRACE") rules, are defined as "TRACE-eligible securities" and municipal securities subject to the Municipal Securities Rulemaking Board ("MSRB") reporting requirements.

DateTitleFormat - SizeStatus
12/29/2003Text of Proposed Rule ChangePDF - 37.11 KB
5/19/2004Amendment No. 1 to Proposed Rule ChangePDF - 123.21 KB
1/28/2004Federal Register NoticePDF - 46.17 KB
10/8/2004Approval OrderPDF - 74.65 KB