NASD has filed with the SEC a proposed rule change to create a new rule series, the proposed Rule 9550 Series, to consolidate, clarify and streamline those existing procedural rules that have an expedited proceeding component.
NASD has filed with the SEC a proposed rule change to extend the expiration date of Rule 2210(c)(3) and Interpretive Material 2210-5 from August 31, 2003 to August 31, 2005.
NASD has filed with the SEC a proposed rule change to amend NASD Rule 7010(k) relating to fees for the Trade Reporting and Compliance Engine (“TRACE”), and is seeking permanent approval of the TRACE fee structure prior to the expiration of the pilot program for fees on January 31, 2004.
NASD has filed with the SEC a proposed rule change to repeal Rule 4613A(e)(1), which requires members that display priced quotations for a Nasdaq security on multiple market centers to display the same-priced quotations on each market center.
NASD has filed with the SEC a proposed rule change to amend Rule 4613A(c) to clarify that NASD may suspend quotations in NASD’s Alternative Display Facility ("ADF”) displayed by any market participant, including an electronic communication network ("ECN”), that are no longer reasonably related to the prevailing market.
NASD has filed with the SEC a proposed rule change to: (1) amend Rule 6210(a) to clarify certain terms used in the definition, “TRACE-eligible security”; (2) amend NASD Rule 6230(e)(2) to expand the trade reporting exemption to qualifying transactions in any TRACE-eligible security that is listed and quoted on the Nasdaq Stock Market, Inc.(“Nasdaq”); and (3) make conforming amendments to the
NASD has filed with the SEC a proposed rule change to require members to review and, if necessary, update their executive representative designation and contact information on a quarterly basis.
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
