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.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 191.84 KB
Federal Register NoticePDF - 54.63 KB
Response to CommentsPDF - 63.9 KB
Extension No. 1PDF - 23.46 KB
Extension No. 2PDF - 23.44 KB
Extension No. 3PDF - 19.3 KB
Amendment No. 1 to Proposed Rule ChangePDF - 23.02 KB
Approval OrderPDF - 58.99 KB