NASD has filed with the SEC a proposed change to Rule 9514 to change the composition of the Hearing Panel for proceedings under the Rule 9510 Series in which NASD Regulation seeks to suspend or cancel the membership of a member or the registration of a person for failure to comply with an arbitration award or a settlement agreement related to an NASD arbitration or mediation.
NASDR has filed with the SEC a proposed rule change to amend NASD Books and Records Rule 3110 and NASD Order Audit Trail System Rules 6954 and 6957 to (1) require members to record certain information when an order is transmitted to a non-member; (2) explicitly detail the record- keeping requirements that will apply to OATS data; (3) require members to record and maintain information related to
NASDR has filed with the SEC a proposed rule change to Rule 10335 of the Code of Arbitration Procedure of the National Association of Securities Dealers, Inc. to extend the effectiveness of the rule for six months.
NASDR has filed with the SEC a proposed rule change to amend Rule 1032(f) of the NASD to change the date by which registered representatives who currently trade equity securities in the Nasdaq Stock Market (Nasdaq) and/or over-the-counter must apply for Equity Trader registration.
NASDR has filed with the SEC a proposed rule change to National Association of Securities Dealers, Inc. Rules 3010 and 3110 to further delay the effective date of one of the provisions in recently-approved amendments to these rules.
NASD has filed with the SEC a proposed rule change to amend NASD Rule 1022 to establish certain qualification requirements for supervisors of research analysts. More specifically, the proposed rule change would require supervisors of research analysts to pass the regulatory part (Series 87) of the Research Analyst Qualification Examination or the Series 16 Supervisory Analyst Examination
NASD has filed with the SEC a proposed rule change to amend NASD Rule 11870 to make the procedures for non-standard transfers of customer account assets through the Automated Customer Account Transfer Service ("ACATS") consistent with the procedures for transferring security account assets in their entirety unless the customer authorizes alternative instructions to transfer specifically
NASD has filed with the SEC a proposed rule change to amend NASD Rule 6230(a) to reduce the period to report a transaction in a TRACE-eligible debt security in two stages: (i) from 45 to 30 minutes in stage one, and (ii) subsequently, from 30 to 15 minutes in stage two. Rule 6230 is one of the Trade Reporting and Compliance Engine (“TRACE”) rules.
Proposed Amendment to Rule Relating to Execution of Investment Company Portfolio Transactions
To Establish Effective Date for Recently Amended Provisions of NASD Rule 2711(h)(2)
