Reorganization and Revision of NASD Mediation Rules
Proposed Foreign Hearing Location Rule
This filing has been withdrawn.
NASD has filed with the SEC a proposed rule change to amend Rule 10321 of the NASD Code of Arbitration Procedure ("Code") to incorporate the discovery sanctions portion of the proposed Customer and Industry Code revision.
The subject matter of this proposed rule change is addressed in the Revision of the Customer Portion of the NASD Code of Arbitration
NASD has filed with the SEC a proposed rule change to establish October 4, 2004 as the effective date of the amendments to Rule 6954(d) that the SEC approved in April 2004. The amendments require that members record and report the execution price and firm capacity in Order Audit Trail Systems ("OATS") Execution Reports.
NASD has filed with the SEC a proposed rule change to: (1) amend Section 4 of Schedule A to the NASD By-Laws to re-label a subparagraph that inadvertently was not correctly re-labeled as part of a recent rule filing, and (2) amend Rule 10308(d) of the NASD Code of Arbitration Procedure to provide a title for recently approved rule language and to replace and re-label rule language that
This rule filing was withdrawn and was replaced with SR-NASD-2004-116.
NASD has filed with the SEC a proposed rule change to align certain supervisory control and inspection requirements in NASD Rules 3010 and 3012 with the supervisory control and inspection requirements in New York Stock Exchange ("NYSE") Rules 342.19 and 342(a)(b)/03. The SEC approved these rules on June 17, 2004. In
Treatment of Commodity Pool Trail Commissions under Rule 2810
Amendments to NASD, NASD Regulation, and NASD Dispute Resolution By-Laws Relating to Divestiture of American Stock Exchange
NASD has filed with the SEC a proposed rule change to amend the NASD Rule 9600 Series to permit a Waiver Subcommittee of the National Adjudicatory Council ("NAC") to affirm, modify, or reverse a decision of NASD's Department of Member Regulation ("Department") denying a request for a waiver from a required qualifications examination pursuant to Rule 1070.
Proposed Amendments to Eliminate Exemptions from the Continuing Education Regulatory Element Requirements
