Proposed Rule Change to Extend the Tier Size Pilot of Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
Proposed Rule Change to Clarify the Application of Transaction-Related Charges for Trade Reporting to the OTC Reporting Facility Pursuant to FINRA Rule 7710
NASD has filed with the SEC a proposed rule change to repeal Rule 4613A(e)(1), which requires members that display priced quotations for a Nasdaq security on multiple market centers to display the same-priced quotations on each market center.
Proposed Rule Change Relating to the Application of Transaction-Related Charges for Trade Reporting to the OTC Reporting Facility
Proposed Rule Change to Amend Rule Cross-References in FINRA Rules
The staff granted an exemption from FINRA Rule 5131(b) with respect to purchases of “new issues” by the National Railroad Retirement Investment Trust.
FINRA Requests Comment on Proposed New Rule Governing Outside Business Activities and Private Securities Transactions
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend NASD Rule 3340 to prohibit the publication of quotations by members for a security during a trading halt.
NASDR has filed with the SEC a proposed rule change to amend Rule 6957 to extend the effective date of the implementation of Phase Three of the Order Audit Trail System ("OATS") Rules to October 31, 2000.
INFORMATIONAL
Taping Rule
Effective Date: October 14, 2002
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Rule 3010
IM-8310-2
Taping Rule
Executive Summary
On August 28, 2002, the Securities and Exchange Commission (SEC) approved amendments to NASD Rule 3010(b)(2), also known as the Taping Rule, and NASD
