SR-NASD-2006-039

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. 

DateTitleFormat - SizeStatus
3/21/2006Text of Proposed Rule ChangePDF - 81.93 KB
5/23/2006Amendment No. 1 to Proposed Rule ChangePDF - 83.95 KB
6/7/2006Federal Register Notice of FilingPDF - 67.68 KB
11/8/2006Amendment No. 2 to Proposed Rule ChangePDF - 37.54 KB
11/28/2006Approval OrderPDF - 65.29 KB