NASDR has filed with the SEC a proposed rule change to amend National Association of Securities Dealers, Inc. Rule 3010 to state that firms should review incoming, non-electronic correspondence to identify customer complaints and funds.
NASDR has filed with the SEC a proposed rule change to clarify the requirements for members to provide electronic access to Nasdaq's SelectNet and SOES order entry systems to public customers and non-members through the member firm's own system.
Arbitrator List Selection Method for Intra-Industry Disputes
NASDR has filed with the SEC a proposed rule change to Interpretive Memorandum 2830-1 of the NASD regarding mutual fund breakpoint sales to clarify its application to modern portfolio investment strategies.
NASDR has filed with the SEC a proposed rule change to amend Rule 2860(b)(3)(A)(vii) of the NASD to make permanent the Association's Equity Option Hedge Exemption, which has been operating as a pilot program since 1990.
NASDR has filed with the SEC a proposed rule change to Section 13 of Schedule A of the by-laws of the NASD to change the fee rates relative to the review of advertising.
NASDR has filed with the SEC a proposed rule change to Rules 112, 120, 1060, 1100, 3010, 6120, and 10101 and Interpretive Material 2110-4, 2210-4, 2420-1, 2420-2, and 2440, to correct cross-references to the NASD By-Laws.
NASDR has filed with the SEC a proposed rule change to Schedule A to the By-Laws and Rule 2710 of the NASD to delete the provision mandating that Corporate Financing filing fees be paid in the form of a check or money order.
NASDR has filed with the SEC a proposed rule change to amend Rule 10321 of the NASD to modify the earliest date to file document and information requests in arbitration proceedings from 20 business days to 45 calendar days after service of the Statement of Claim or upon filing of the Answer, whichever is earlier.
NASDR has filed with the SEC a proposed rule change to amend Rule 2860(b)(3)(A) of the NASD to triple the position limits on standardized (exchange-traded) equity options and make them equivalent to the limits on conventional (over-the-counter) equity options overlying the same security.
