Proposed Rule Change Relating to a New NASD Trade Reporting Facility Established in Conjunction with the National Stock Exchange

NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt rules relating to a new Trade Reporting Facility (the "NASD/NSX TRF") to be established by NASD, in conjunction with the National Stock Exchange ("NSX"), that would provide members another mechanism for reporting trades in Nasdaq-listed equity securities effected otherwise than on an exchange. The proposed NASD/NSX TRF structure and rules are substantially similar to the Trade Reporting Facility established by NASD and Nasdaq Stock Market, Inc. (the "NASD/Nasdaq TRF") and rules relating thereto, which were approved by the Commission pursuant to proposed rule change SR-NASD-2005-087. Pursuant to the proposed rule change, NASD is also proposing (1) amendments to certain NASD rules to reflect the operation of more than one Trade Reporting Facility established by NASD and (2) new NASD Rule 5140 relating to the use of multiple Market Participant Symbols by members reporting trades to a Trade Reporting Facility established by NASD.

DateTitleFormat - SizeStatus
9/14/2006Text of Proposed Rule ChangePDF - 248.11 KB
9/14/2006Federal Register NoticePDF - 68.3 KB
11/2/2006Amendment No. 1 to Proposed Rule ChangePDF - 195.78 KB
11/2/2006Approval OrderPDF - 74.65 KB
11/2/2006Correction to Approval OrderPDF - 47.99 KB