SR-NASD-2004-044
Proposed Amendments Relating to Short Sale Delivery Requirements
NASD has filed with the SEC a proposed rule change to replace Rule 3210 and Rule 11830 with a new rule requiring that clearing firms make delivery, or take affirmative steps to make delivery, within 10 business days after settlement date for all short sale transactions. In addition, clearing firms would be required to document and report certain information to NASD within one business day of their failure to meet the 10-day delivery requirement.
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 44.6 KB | |
| Approval Order | PDF - 62.59 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 245.88 KB | |
| Amendment No. 2 to Proposed Rule Change | PDF - 230.52 KB | |
| Federal Register Notice | PDF - 62.36 KB | |
| Corrected Federal Register Notice | PDF - 47.75 KB | |
| Extension | PDF - 77.54 KB | |
| Extension No. 2 | PDF - 77.53 KB | |
| Extension No. 3 | PDF - 77.54 KB | |
| Response to Comments | PDF - 151.78 KB |