Proposed Amendments to Rules Regarding Trading and Quotation Halts in OTC Equity Securities
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to (1) amend NASD rules to modify and expand NASD's authority to initiate trading and quotation halts in over-the-counter ("OTC") equity securities; and (2) adopt IM-6660-1 to identify certain factors that NASD may consider in determining, in its discretion, whether imposing a trading and quotation halt in an OTC equity security is appropriate.
|Date||Title||Format - Size||Status|
|3/21/2006||Text of Proposed Rule Change||PDF - 81.93 KB|
|5/23/2006||Amendment No. 1 to Proposed Rule Change||PDF - 83.95 KB|
|6/7/2006||Federal Register Notice of Filing||PDF - 67.68 KB|
|11/8/2006||Amendment No. 2 to Proposed Rule Change||PDF - 37.54 KB|
|11/28/2006||Approval Order||PDF - 65.29 KB|