SR-NASD-2006-040

Proposed Amendments to Expand NASD's Current Order Audit Trail System (OATS) Exemptive Authority to Include Recording Requirements

NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to expand NASD's current Order Audit Trail System (OATS) exemptive authority to include recording requirements. 

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 1.06 MB
Notice of Filing and Accelerated ApprovalPDF - 64.63 KB