The NASD, through its wholly owned subsidiary, NASD Dispute Resolution, Inc., has filed with the SEC a proposed rule change to Rule 10335 of the Code of Arbitration Procedure ("Code") of the National Association of Securities Dealers, Inc. ("NASD" or "Association") to extend the effectiveness of the rule for one year, pending Commission action on a pending rule
This filing was withdrawn and replaced by SR-NASD-2005-087.
NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend NASD Rules to reflect Nasdaq’s separation from the NASD upon its approval as a national securities exchange and to establish the rules that will govern trading otherwise than on an exchange, including transactions effected through the NASD Alternative Display
NASD Regulation, Inc., has filed with the SEC a proposed rule change to add NASD Rule 3115 and to amend NASD Rule 3340 to establish record-keeping requirements for Alternative Trading Systems ("ATSs") that trade security futures, and to require ATSs to coordinate trading halts with markets trading the underlying securities and markets trading related securities.
NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend NASD Uniform Practice Code Rules 11870(c) and 11870(d) to expedite the transfer of customer accounts that contain proprietary or third party products (e.g., mutual funds or money market funds) that the receiving member cannot receive or carry.
NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend NASD Code of Procedure Rule 9216 and NASD Code of Procedure Rule 9270. The purpose of the proposed rule change is to substitute for Office of General Counsel review of proposed Acceptance, Waivers and Consents (AWCs) and proposed violation letters under the minor rule violation plan pursuant to SEC Rule 19d-1(c)(2)
NASD Regulation, Inc., has filed with the SEC a proposed rule change expressly interpreting NASD Rule 2110 to prohibit members from interfering with a customer’s request to transfer his or her account in connection with the change in employment of the customer’s registered representative, provided that the account is not subject to any lien for monies owed by the customer or other bona fide claim
NASD Regulation, Inc., has filed with the SEC a proposed rule change to make certain changes to the NASDR By-Laws in order to conform the NASD Regulation, Inc. By-Laws to the NASD By-Laws and to increase the maximum size of the NASD Regulation Board. As such, the proposed rule change is immediately effective pursuant to Section 19(b)(3)(A) of the Act.
NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend the definitions of "broker" and "dealer" in the By-Laws of NASD Regulation to conform to the definitions of "broker" and "dealer" in the Act. Under the proposed rule change, the definitions of "broker" and "dealer" in the NASD Regulation By-Laws would
NASD Regulation, Inc., has filed with the SEC a Notice to Members 01-23 reminding members that they have suitability obligations when they make recommendations to customers online.
NASD Regulation, Inc., has filed with the SEC the examination specifications and study outline for the Limited Representative-Private Securities Offerings (Series 82) examination program. The Series 82 examination program is proposed in connection with a proposed change to NASD Rule 1032 to implement Section 203 of the Gramm-Leach-Bliley Act of 1999 ("GLBA"), which requires the NASD, as
