SR-NASD-2004-014 | FINRA.org

FINRA.org will undergo scheduled maintenance Sunday, Nov. 1, from 8 p.m. to Monday, Nov. 2, 4 a.m. ET, with a brief five-minute outage during this window.

SR-NASD-2004-014

Proposed Rule Change to Adopt Interpretative Material 3150 ("IM-3150") to Establish Exemptions from the Reporting Requirements of NASD Rule 3150

NASD has filed with the SEC a proposed rule change to adopt Interpretative Material 3150 ("IM-3150") to establish exemptions from the reporting requirements of NASD Rule 3150.

Title Format - Size Status
Text of Proposed Rule Change PDF - 37.84 KB
Amendment No. 1 to Proposed Rule Change PDF - 17.92 KB
Notice of Filing and Immediate Effectiveness PDF - 44.85 KB