6750. NASD Rules
This rule is no longer applicable. NASD Rule 6750 has been superseded by FINRA Rule 6635. Please consult the appropriate FINRA Rule.
(a) The following NASD Rules and Interpretative Material thereunder are specifically applicable to transactions and business activities relating to PORTAL securities:
(1) Rules 0113, 0114, 0115, 2110, 2120, 2230, 2240, 2250, 2260, 2270, 2310, 3370, and 8210;
(2) the Rule 8100 and Rule 8300 Series; and
(3) IM-2310-2, IM-2420-1, IM-2440, IM-3310, and IM-3320.
(b) The following NASD rules and Interpretative Material thereunder are specifically applicable to transactions and business activities relating to PORTAL securities, with the exceptions specified below:
(1) Rule 2320, except for paragraph (g), which requires that a member obtain quotations from three dealers to determine the best inter-dealer market for the subject security;
(2) Rule 2330, except for paragraph (d); and
(3) Rule 3110.
(c) The following NASD Rules are applicable to members and persons associated with members regardless of whether the member participates in transactions in PORTAL securities:
(1) Rules 0111, 0112, 0120, and 0121.
(2) Rules 2210, 3020, 3030, 3040, 3050, 3060, 3130, 3140, and 3340.
(d) The following NASD Rules and Interpretative Material thereunder are not applicable to transactions and business activities relating to PORTAL securities:
(1) Rules 1130, 2450, 2520, 2710, 2730, 2740, 2750, 2790, 2810, 2820, 2830, 2860, 3210, and 3360.
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Renumbered from Rule 5350 and amended by SR-NASD-2005-087 eff. Aug. 1, 2006. Amended by SR-NASD-99-60 eff. March 23, 2004. Amended by SR-NASD-99-66 eff. March 6, 2001. |
- Regulatory Notice 19-12April 12, 2019