NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rules 4130A, 4300A, 4613A, 4617A, and 4632A regarding the Alternative Display Facility ("ADF"). Specifically, the proposed rule change expands the prohibition on locking or crossing quotations in NMS stocks to include pre-opening and post-closing
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.
NASD, through its wholly owned subsidiary, NASD Dispute Resolution, Inc. ("NASD Dispute Resolution"), is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to remove unnecessary cross references and correct a grammatical error in Rule 10308(a)(5)(B).
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change relating to a phased implementation of SR-NASD-2006-104, which was approved by the Commission on November 21, 2006. Specifically, NASD is proposing to implement on December 20, 2006 amendments to the Plan of Allocation and Delegation of Functions by NASD to Subsidiaries (
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").
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to increase the frequency of the short interest reporting requirements under Rule 3360 from monthly to twice per month.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt new paragraph (f) of Rule 6130C (Trade Report Input) to require members reporting odd-lot transactions, sales where the buyer and seller have agreed to a price substantially unrelated to the current market for the security (also referred to as "away from the
This filing has been withdrawn.
NASD, through its subsidiary, The Nasdaq Stock Market, Inc. (“Nasdaq”), is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to exempt from NASD Rule 3350, the short sale rule, sales in Nasdaq National Market (“NNM”) securities reported to the Nasdaq Market Center trade reporting service comprising the “riskless” portion of a
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to establish May 31, 2007 as the effective date of the amendments to Rule 2340 (concerning customer account statements) that the SEC approved in September 2006 (SR-NASD-2004-171). The amendments require customer account statements to include a statement advising customers
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") this proposed rule change to adopt a new NASD Rule 7000C Series relating to fees and credits for the Trade Reporting Facility (the "NASD/NSX TRF") established by NASD and the National Stock Exchange ("NSX").
