The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend NASD Rules 10308 and 10312 to provide authority for the Director of Arbitration to remove arbitrators for cause after hearings have begun.
NASD Regulation, Inc., has filed with the SEC a proposed rule change to Rules 2340, 2710, and 2810 of the Conduct Rules of the National Association of Securities Dealers, Inc.
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., is filing with the SEC a proposed rule change to amend NASD Rules 10335 and 10205 of the NASD's Code of Arbitration Procedure to simplify and expedite the procedures for seeking immediate injunctive relief in intra-industry disputes and to fairly and effectively integrate court-ordered initial injunctive relief with the
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., is filing with the SEC a proposed rule change to amend NASD Rule 2520 to impose overall more stringent margin requirements for day-trading customers. The proposed rule change would:
Revise the definition of "pattern day trader" to include any customer who (a) the firm knows or has a reasonable basis to believe will
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., is filing with the SEC a proposed rule change to amend NASD IM-8310-2 to provide for the publication of all final, litigated decisions issued by the Office of Hearing Officers, the National Adjudicatory Council and the NASD Board, regardless of sanctions imposed.
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.
NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend Rule 2210 and Interpretive Materials thereunder, promulgate new Rule 2211, and renumber existing Rule 2211, of the National Association of Securities Dealers, Inc. The proposed rule change would modernize and clarify the rules governing member communications with the public. Among other provisions, the proposed rule
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend NASD Rule 1032(f) to change the date by which certain registered representatives who trade equity securities in the Nasdaq Stock Market and/or over-the-counter must pass the Series 55 Examination.
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to add new Rule 6630 to require members to record and maintain their quotations displayed in certain automated, inter-dealer quotation systems, such as the Electronic Pink Sheets, and to report such data to NASD Regulation upon request.
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to adopt NASD Rule 3090, to: (1) require NASD members to promptly obtain and implement a duplicate statement instruction whenever they have actual knowledge that an Association or American Stock Exchange employee has a financial interest in, or controls trading in, an account; (2)
