Proposed Amendments to NASD Rules 3150 and 3230

NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rules 3150 and 3230 governing the reporting of data to clearing firms by correspondent firms.

DateTitleFormat - SizeStatus
5/2/2005Text of Proposed Rule ChangePDF - 58.84 KB
7/14/2005Amendment No. 1 to Proposed Rule ChangePDF - 197.24 KB
7/26/2005Federal Register NoticePDF - 57.98 KB
9/2/2005Approval OrderPDF - 55.44 KB