Amendments to NASD Rules to Align Them with Regulation NMS and to Allow for Quoting, Trade Reporting and Clearing Through the Alternative Display Facility for all NMS Stock.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD rules, including the rules governing the Alternative Display Facility ("ADF"), to align them with Regulation NMS. In addition, NASD is amending rules that govern quoting, trade reporting and clearing through the ADF to extend this functionality to all NMS stock, as defined in SEC Rule 600(b)(47), including New York Stock Exchange, LLC. ("NYSE"), American Stock Exchange LLC. ("AMEX") and certain other regional listed-securities. Further, this rule proposal reorganizes ADF trade reporting rules and makes changes to the ADF rules to enhance the clarity of the rules.
|Title||Format - Size||Status|
|Text of Proposed Rule Change||PDF - 401.41 KB|
|Withdrawal of Amendment No. 1 to Proposed Rule Change||PDF - 22.26 KB|
|Amendment No. 2 to Proposed Rule Change||PDF - 310.76 KB|
|Federal Register Notice||PDF - 80.93 KB|
|Amendment No. 3 to Proposed Rule Change||PDF - 332.36 KB|
|Approval Order||PDF - 74.67 KB|