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This rule filing was withdrawn and replaced by SR-NASD-2004-179.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
NASD has filed with the SEC a proposed rule change to extend for nine months, to July 26, 2005, the operation of NASD’s Alternative Display Facility (“ADF”) on a pilot basis. The ADF pilot program, as approved by the SEC on July 24, 2002, and extended on April 17, 2003 and January 26, 2004, will expire on October 26, 2004. The pilot permits members to quote and trade only
NASD has filed with the SEC a proposed rule change to establish on a pilot basis new Rule 4400A, which would give NASD the authority to receive and review complaints against NASD Alternative Display Facility (“ADF”) market participants that allege denial of direct or indirect access required pursuant to Rule 4300A.
NASD has filed with the SEC a proposed rule change to amend NASD Rule 2340 to require that account statements include a statement that advises each customer to promptly report any inaccuracy or discrepancy in that person's account to his or her brokerage firm and clearing firm (where these are different firms) and to re-confirm any oral communications in writing.
