NASDR has filed with the SEC a proposed rule change to amend Rule 10314 of the Code of Arbitration Procedure of the National Association of Securities Dealers, Inc. to extend the time to answer an arbitration claim from 20 business days to 45 calendar days and to eliminate extensions of time to answer except in extraordinary circumstances.
NASDR has filed with the SEC a proposed rule change to National Association of Securities Dealers, Inc. Rules 3010 and 3110 to postpone the effective date of recently-approved amendments to these rules. The amendments allow firms to develop flexible procedure for the review of
NASDR has filed with the SEC a proposed rule change to National Association of Securities Dealers, Inc. Interpretive Material 8310-2 to postpone the effective date of recently approved changes to this Interpretive Material and the Forms U-4 and U-5.
NASDR has filed with the SEC a proposed rule change to amend Rule 2860(b) of the National Association of Securities Dealers, Inc. to: (1) increase the position limits on conventional equity options to three times the basic position limits for standardized equity options on the same security; (2) disaggregate conventional equity options from standardized equity options and FLEX Equity Options for
NASDR has filed with the SEC a proposed rule change to Rule 2210 of the Conduct Rules of the National Association of Securities Dealers, Inc. to require that written or electronic communications prepared for a single customer be subject to the general standards and those specific standards of Rule 2210 that prohibit misleading statements.
NASDR has filed with the SEC a proposed rule change to National Association of Securities Dealers, Inc. Rules 3010 and 3110 to implement the effective date of recently-approved amendments to these rules. The amendments allow firms to develop flexible procedure for the review of correspondence with the public.
NASDR has filed with the SEC a proposed rule change to Rule 2210 of the Conduct Rules of the National Association of Securities Dealers, Inc. to exclude independently-prepared research reports from the filing requirements of Rule 2210.
Online Arbitration Claim Filing Pilot Program
NASD has filed with the SEC a proposed rule change to amend NASD Rule 10314(a) to provide that, in certain circumstances, parties must complete part of the arbitration claim filing process through the Internet and that, in all circumstances, parties may complete part of the claim filing process through the Internet.
This rule filing was withdrawn and was replaced with SR-NASD-2004-016
Reducing the Time for Chairperson Selection
