NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Interpretive Material (IM) 10104 of the NASD Code of Arbitration Procedure ("Code") to provide payment to arbitrators for deciding discovery-related motions without a hearing.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend the arbitration fees applicable to certain statutory employment discrimination claims.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to: (1) amend NASD Rule 3110(f)(2)(B) to conform to the SEC's recordkeeping rules by extending the time period for delivery of a copy of a customer account agreement containing a predispute arbitration clause from the time of signing to within 30 days of
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 1050 to create an exemption from the Research Analyst Qualification Examination (Series 86 and 87) for certain research analysts employed by foreign affiliates of a member who contribute to the preparation of a member's research reports.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Rule 2860 to increase certain options position limits for a pilot period and to expand the available equity option hedge exemptions to include "reverse collars."
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend paragraph (L) of NASD Rule 3010(b)(2) ("Taping Rule" or "Rule") to (1) require member firms that are seeking an exemption from the Rule to submit their exemption requests to NASD within 30 days of receiving notice from NASD or obtaining actual
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to provide written explanations in arbitration awards upon the request of customers, or of associated persons in industry controversies.
NASD has filed with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend NASD Rule 7010(k) relating to Transaction Reporting and Compliance Engine (“TRACE”) transaction data to: (i) terminate the Bond Trade Dissemination Service (“BTDS”) Internal Usage Authorization Fee and the BTDS External Usage Authorization Fee and, in lieu of both fees,
This filing was withdrawn and replaced by SR-NASD-2006-109
NASD has filed with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 10316 and to adopt Rule 10408 of the NASD Code of Arbitration Procedure (“Code”) to address attorney representation in arbitration and mediation.
NASD has filed with the Securities and Exchange Commission (“SEC” or “Commission”) Notice to Members (“NtM”) 05-11, providing further guidance regarding members’ obligations under Section 3 of Schedule A to the NASD By-Laws (Regulatory Transaction Fees) and a self-reporting form that is used by members to report trade data that is not captured by NASD’s trade reporting system.
