The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to require clearing firms and market makers that are members of the NASD to conduct or to participate in the testing of their computer systems to ascertain decimal pricing conversion compatibility of those systems.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt rules relating to a new Trade Reporting Facility (the "NASD/NSX TRF") to be established by NASD, in conjunction with the National Stock Exchange ("NSX"), that would provide members another mechanism for reporting trades in Nasdaq-listed equity
NASD has filed with the SEC a proposed rule change to amend NASD Interpretative Material 9216 ("IM-9216") to expand the list of violations eligible for disposition under NASD's Minor Rule Violation Plan ("MRVP") to include failure to timely submit amendments to the Form U5, as required by Article V, Section 3(a) of the NASD By-Laws.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 7010(k) relating to Transaction Reporting and Compliance Engine ("TRACE") transaction data to (i) amend Rule 7010(k)(3)(A)(i) to offer an optional enterprise-based flat fee for the internal display of real-time TRACE transaction data ("
NASDR has filed with the SEC a proposed rule change to amend Rule 1022 of the National Association of Securities Dealers, Inc. to require the registration of chief compliance officers.
NASD has filed with the SEC a proposed rule change to prohibit a member from trading ahead of a customer market order and to require the crossing of customer market orders, if the customer market order has not been executed fully and promptly.
Proposed Rule Change to Adopt FINRA Rule 4360 (Fidelity Bonds) in the Consolidated FINRA Rulebook
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., is filing with the SEC a Notice to Members reminding members of their obligation under just and equitable principles of trade and advertising rules to disclose to customers the material risks of extended hours trading.
NASD has filed with the SEC a proposed rule change to amend Schedule B to the NASD By-Laws to correct the inaccurate descriptions of the territorial boundaries of two NASD District Offices.
Proposed Rule Change to Amend FINRA Rule 5190 (Notification Requirements for Offering Participants)
