NASD, through its wholly owned subsidiary, NASD Dispute Resolution, Inc. ("NASD Dispute Resolution"), is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to allow for the digital recording of arbitration hearings.
NASD, through its wholly owned subsidiary, NASD Dispute Resolution, Inc. ("NASD Dispute Resolution"), is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to provide for the payment of a $200 honorarium per case for each arbitrator who considers contested motions for the issuance of subpoenas.
NASD, through its subsidiary, The Nasdaq Stock Market, Inc. ("Nasdaq"), is filing with the Securities and Exchange Commission ("Commission") a proposed rule change to exempt all securities included in the NASDAQ 100 Index from the price test set forth in NASD Rule 5100 (formerly Rule 3350).
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Rule 2860 (Options) to (1) require that a copy of each amendment to the options disclosure document, Characteristics and Risks of Standardized Options, be distributed to each customer not later than the time of the delivery of a confirmation of a transaction in
NASD is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to make technical, non-substantive changes to certain NASD rules previously approved by the Commission in SR-NASD-2006-055 that were amended by SR-NASD-2005-087, which became effective August 1, 2006.
NASD is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 2860(b)(23) (Tendering Procedures for Exercise of Options) to: (1) simplify the manner in which a Contrary Exercise Advice (“CEA”) is submitted; (2) extend by one hour the cut-off time by which members must submit CEA notices; (3) add procedures for exercising a standardized
NASD is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 2860 to extend a pilot program increasing certain options position and exercise limits to March 1, 2007.
NASD is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend NASD Rule 4613A and adopt IM-4613A-1 to enable ECN members that post quotations through the Alternative Display Facility (“ADF”) (i.e., Registered Reporting ADF ECNs), to request and receive multiple market participant identifiers (“MPIDs”) with which to enter multiple quotes/orders
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD rules, including the rules governing the Alternative Display Facility ("ADF"), to align them with Regulation NMS. In addition, NASD is amending rules that govern quoting, trade reporting and clearing through the ADF to extend this functionality to
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt a schedule of fees and credits for The Trade Reporting Facility LLC (the "NASD/Nasdaq TRF") established by NASD and The Nasdaq Stock Market, Inc. ("Nasdaq").
