Proposal to Expand the Scope of Rule 2440 and IM-2440 to Apply to All Securities Transactions with or for a Customer

NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to expand the scope of Rule 2440 and Interpretive Material (IM) 2440 relating to fair prices and commissions to apply to all securities transactions, whether executed over-the-counter ("OTC") or on an exchange.

DateTitleFormat - SizeStatus
1/19/2006Text of Proposed Rule ChangePDF - 191.84 KB
4/4/2006Federal Register NoticePDF - 54.63 KB
10/3/2006Response to CommentsPDF - 63.9 KB
3/24/2008Extension No. 1PDF - 23.46 KB
5/27/2008Extension No. 2PDF - 23.44 KB
5/27/2008Extension No. 3PDF - 19.3 KB
5/30/2008Amendment No. 1 to Proposed Rule ChangePDF - 23.02 KB
6/13/2008Approval OrderPDF - 58.99 KB