Proposed Rule Change to Amend the NASD Rule 7000 Series to Delete References to Systems and Services That Will No Longer Be Provided by NASD

NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend the NASD Rule 7000 Series (Charges for Services and Equipment) to delete references to systems and services that will no longer be provided by NASD upon the operation of NASD's Alternative Display Facility (the "ADF") for non-Nasdaq exchange-listed securities, which is anticipated to be March 5, 2007. As amended, the Rule 7000 Series only will apply to NASD's OTC Bulletin Board Service, OTC Reporting Facility ("ORF") and Trade Reporting and Compliance Engine ("TRACE"). In this proposed rule change, NASD also is providing notice relating to the calculation of fees under Rule 7010 for use of NASD's Intermarket Trading System/Computer Assisted Execution Service (the "ITS/CAES System") on March 1 and 2, 2007, which will apply if the changes proposed herein are implemented on March 5, 2007 as anticipated.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 144.09 KB
Notice of Filing and Immediate EffectivenessPDF - 61.13 KB