NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to require members to report all transactions that must be reported to NASD and that are subject to a regulatory transaction fee pursuant to Section 3 of Schedule A to the NASD By-Laws to the Nasdaq Market Center ("NMC") and/or the Trade Reporting and Comparison
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to establish July 10, 2006 as the effective date of the amendments to NASD's Order Audit Trail System (OATS) rules approved by the Commission on September 28, 2005 and March 30, 2006.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to extend for nine months, to January 26, 2007, the operation of NASD's Alternative Display Facility ("ADF") on a pilot basis.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt Interpretive Material ("IM") to NASD Rule 3060 to require members to adopt policies and procedures addressing business entertainment. This rule filing has been withdrawn.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 3080 (Disclosures to Associated Persons When Signing Form U-4) to correct the reference to the name of the Form U4 (Uniform Application For Securities Industry Registration or Transfer) and the location of the predispute arbitration clause in the Form U4
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rules 2520 and 2522 that will revise the margin requirements to (1) recognize specific additional complex option spread strategies for purposes of determining required margin and (2) amend the provisions relating to "permitted offsets" for certain
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to expand NASD's current Order Audit Trail System (OATS) exemptive authority to include recording requirements.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to (1) amend NASD rules to modify and expand NASD's authority to initiate trading and quotation halts in over-the-counter ("OTC") equity securities; and (2) adopt IM-6660-1 to identify certain factors that NASD may consider in determining, in its discretion
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Rule 1013 (New Member Application and Interview) to adopt a standardized new member application form, Form NMA, to be used by all new applicants applying for membership to NASD. The proposed rule change also makes several technical changes to Rules 1013
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") an extension of the effective date of amendments to NASD Rule 3010(g)(2)(A) which defines the term "branch office," and related IM-3010-1 which provides guidance on factors to be considered by members when conducting internal inspections of offices ("Uniform Branch Office
