NASD has filed with the SEC a proposed rule change to amend NASD Rule 2210 to reinsert certain existing rule language that was inadvertently omitted from amendments to Rule 2210 that the Commission recently approved.
NASD has filed with the SEC a proposed rule change to amend NASD Rule 6260(a) and (b) to require members to provide additional, descriptive information in the notice that is sent to NASD and identifies the basic terms of a new TRACE-eligible security (“new issue notification”), and to provide the information required in Rule 6250(b) to NASD by email or facsimile. Rule 6260 is one of the Trade
NASD has filed with the SEC a proposed rule change to amend Section 4(b) of Schedule A to the NASD By-Laws (hereinafter referred to as "Section 4(b)") to: (1) increase the $10.00 charge for each set of fingerprints submitted by a member to NASD for processing to $13.00; and (2) establish a $13.00 charge to be paid to NASD for posting each set of fingerprint results processed by another
NASD has filed with the SEC a proposed rule change to amend NASD Rules 2211 and 3110(g) to require that members participate in the Federal Trade Commission’s ("FTC's") national do-not-call registry.
NASD has filed with the SEC a proposed rule change to amend NASD Rule 1013 to eliminate the requirement that new member applicants include in their membership applications signed, paper Forms U4 for each associated person who is required to be registered under NASD Rules and, instead, to require new member applicants to file these Forms U4 electronically. The proposed rule change also amends Rule
NASD has filed with the SEC a proposed rule change to amend Schedule B to the NASD By-Laws to change the territorial boundaries of certain NASD district offices.
NASD has filed with the SEC a proposed rule change to amend NASD Rule 2710 to reinsert certain existing rule language that was inadvertently omitted from amendments to Rule 2710 that the Commission recently approved.
NASD has filed with the SEC a proposed rule change to amend NASD Interpretative Material 9216 ("IM-9216") (Violations Appropriate for Disposition Under the Plan Pursuant to SEC Rule 19d-1(c)(2)) and Schedule A of the NASD By-laws ("Schedule A") to clarify that a failure to timely file Schedule I, pursuant to Exchange Act Rule 17a-10, is eligible for disposition under NASD’s
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.
NASD has filed with the SEC ") a proposed rule change to amend Interpretive Material 3130 ("IM-3130") to change references to "paragraphs (b)(2) and (c)(2)" of Rules 3030 and 3031 to "paragraphs (c)(2) and (d)(2)" in IM-3130(a), (c), (d), and (e); and change references to "the Association" to "NASD" in IM-3130, thereby conforming the rule
