Proposed Rule Change to Amend NASD Rule 3360 in Light of the SEC Regulation SHO

NASD has filed with the SEC a proposed rule change to amend NASD Rule 3360 to change references from "SEC Rule 3b-3" to "SEC Rule 200," thereby conforming the rule language in Rule 3360 in light of the SEC’s new short sale regulation, Regulation SHO.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 47.34 KB
Federal Register NoticePDF - 60.25 KB