Proposed Rule Change to Amend NASD Rule 7010(k)

NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 7010(k) relating to Transaction Reporting and Compliance Engine ("TRACE") transaction data to (i) amend Rule 7010(k)(3)(A)(i) to offer an optional enterprise-based flat fee for the internal display of real-time TRACE transaction data ("Real-Time TRACE transaction data") on an unlimited number of interrogation or display devices, and (ii) amend Rule 7010(k)(1)(A) to lower the monthly fee for the first user ID purchased to obtain Level II Full Service Web Browser Access.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 156.63 KB
Federal Register NoticePDF - 60.24 KB
Response to CommentsPDF - 21 KB
Approval OrderPDF - 64.24 KB