NASD has filed with the SEC a proposed rule change to extend retroactively to July 1, 2004, and prospectively through December 31, 2004, the current pilot price-improvement standards for decimalized securities contained in NASD Interpretive Material 2110-2 - Trading Ahead of Customer Limit Order ("Manning Interpretation" or "Manning"). Without such an extension, these
NASD has filed with the SEC a proposed rule change to amend NASD Interpretative Material 9216 ("IM-9216") to expand the list of violations eligible for disposition under NASD's Minor Rule Violation Plan ("MRVP") to include failure to timely submit amendments to the Form U5, as required by Article V, Section 3(a) of the NASD By-Laws.
NASDR has filed with the SEC a proposed rule change to Rule 10201 of the Rules of the National Association of Securities Dealers, Inc.
The NASD, through its wholly owned subsidiary, NASD Dispute Resolution, Inc., has filed with the SEC a proposed rule change to: (1) amend NASD Rule 10334 of the Code of Arbitration Procedure ("Code") to accelerate the expiration date of the rule from August 1, 2002 to December 31, 2000; (2) to delete paragraph (i) of Rule 10205, Schedule of Fees for Industry and Clearing Controversies
NASD has filed with the SEC a proposed rule change to amend NASD Rule 3360 to change references from "SEC Rule 3b-3" to "SEC Rule 200," thereby conforming the rule language in Rule 3360 in light of the SEC’s new short sale regulation, Regulation SHO.
NASD is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend NASD Rule 7010(k) to terminate the Bond Trade Dissemination Service (“BTDS”) Professional Delayed-Time Data Display Fee pilot program and the BTDS Non-Professional Real-Time Data Display fee, relating to Trade Reporting and Compliance Engine (“TRACE”) transaction data fees, and to
NASD is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the pilot rule in IM-10100(f) of the NASD Code of Arbitration Procedure (“Code”) relating to the California waiver program until September 30, 2005. NASD is not proposing any textual changes to the By-Laws or Rules of NASD.
This rule filing was withdrawn and replaced by SR-NASD-2004-179.
NASD is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Section 13 of Schedule A to the NASD By-Laws ("Section 13") governing the review charges for advertisements, sales literature, and other such material filed with or submitted to NASD's Advertising
Proposed Rule Change to Extend Through June 30, 2005, the Current Pilot Price-Improvement Standards for Decimalized Securities Contained in NASD Interpretive Material 2110-2 - Trading Ahead of Customer Limit Order
