Questions to Ask Before You File a Complaint
To be approved as a FINRA member firm, the Form NMA and supporting documentation must satisfy the Standards of Admission set forth in NASD Rule 1014 and all other statutory and regulatory requirements.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to correct a typographical error in NASD Rule 2520 (Margin Requirements). In particular, the proposed rule change would amend NASD Rule 2520 to re-label a subparagraph that was incorrectly identified as part of a recent rule filing.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to extend through June 30, 2007, the current pilot price-improvement standards for decimalized securities contained in NASD Interpretive Material 2110-2, Trading Ahead of Customer Limit Order ("Manning Rule").
Executive Summary
Effective October 1, 1996, tier sizes for 591 Nasdaq National Market® securities will be revised in accordance with NASD Rule 4710(g) [formerly ¶ 2451a7 of the Rules of Practice and Procedure for the Small Order Execution System (SOES)].
For more information, please contact Nasdaq Market Operations at (203) 378-0284.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 7010 to modify pricing for NASD members using the ITS/CAES System and Inet facility, which are currently operated by The Nasdaq Stock Market, Inc. and its subsidiaries ("Nasdaq") as facilities of NASD.
Instructions for Completing the FINRA Participation Agreement
Executive Summary
Effective July 1, 1996, tier sizes for 728 Nasdaq National Market securities will be revised in accordance with NASD Rule 4710(g) (formerly Paragraph 2451a7 of the Rules of Practice) and Procedure for the Small Order Execution System.
For more information, please contact Nasdaq Market Operations at (203) 378-0284.
Executive Summary
Effective April 1, 1996, tier sizes for 1,024 Nasdaq National Market securities will be revised in accordance with Paragraph 2451a7 of the Rules of Practice and Procedure for the Small Order Execution System (SOESSM).
For more information, please contact Nasdaq Market Operations at (203) 378-0284.
