SR-NASD-2005-001 | FINRA.org Skip to main content

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-2005-001

Proposed Rule Change to Amend NASD Rule 3360 in Light of the SEC Regulation SHO

NASD has filed with the SEC a proposed rule change to amend NASD Rule 3360 to change references from "SEC Rule 3b-3" to "SEC Rule 200," thereby conforming the rule language in Rule 3360 in light of the SEC’s new short sale regulation, Regulation SHO.

Title Format - Size Status
Text of Proposed Rule Change PDF - 47.34 KB
Federal Register Notice PDF - 60.25 KB