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Proposed Rule Change to Amend Rules 6951 and 6954 Regarding the Order Audit Trail System

NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rules 6951 and 6954 to require members that transmit an intermarket sweep order ("ISO") to another member, electronic communications network, non-member, or exchange to record and report the fact that the order was an ISO.

Title Format - Size Status
Text of Proposed Rule Change PDF - 64.54 KB
Amendment No. 1 to Proposed Rule Change PDF - 25.51 KB
Federal Register Notice PDF - 65.37 KB
Approval Order PDF - 52.34 KB