SR-NASD-2001-019
Reporting Requirements for Clearing Members
NASD Regulation, Inc., has filed with the SEC a proposed rule change to adopt a new Rule 3150 to require all members that are clearing firms to report certain data to the NASD Regulation Department of Member Regulation on a daily basis.
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 22.31 KB | |
| Federal Register Notice | PDF - 39.68 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 12.44 KB | |
| Amendment No. 2 to Proposed Rule Change | PDF - 25.68 KB | |
| Approval Order | PDF - 55.1 KB |