SR-NASD-2004-026 | FINRA.org

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SR-NASD-2004-026

Proposed Amendments to Rule 2320(a), NASD's Best Execution Rule

NASD has filed with the SEC a proposed rule change to amend NASD Rule 2320(a) (“Best Execution Rule”) to require that a recipient member provide best execution to customer orders routed to it when there is either a written agreement between the originating broker/dealer and the recipient member or written representations from the recipient member that it will provide best execution to the originating broker/dealer’s customer orders.

Title Format - Size Status
Text of Proposed Rule Change PDF - 52.08 KB
Amendment No. 5 to Proposed Rule Change PDF - 26.79 KB
Approval Order PDF - 61.21 KB
Amendment No. 1 to Proposed Rule Change PDF - 96.43 KB
Amendment No. 2 to Proposed Rule Change PDF - 846 KB
Federal Register Notice PDF - 70.58 KB
Extension No. 1 PDF - 19.53 KB
Amendment No. 3 to Proposed Rule Change PDF - 244.61 KB
Amendment No. 4 to Proposed Rule Change PDF - 115.48 KB
Federal Register Notice of Amendment Nos. 3 and 4 PDF - 66.29 KB