NASD has filed with the SEC a proposed rule change to amend NASD Rules to require members to request Underwriting Activity Reports ("UARs") from NASD’s Market Regulation Department rather than NASD’s Corporate Financing Department.
NASD has filed with the SEC a proposed rule change to amend NASD Rule 6230 to reduce the period to report a transaction in a TRACE-eligible debt security from 75 minutes to 45 minutes. Rule 6230 is one of the Trade Reporting and Compliance Engine ("TRACE") rules.
NASD has filed with the SEC a proposed rule change relating to the new General Securities Principal Sales Supervisor Module (“Series 23”) examination program. NASD is proposing to accept the General Securities Sales Supervisor (“Series 9/10”) examination as an acceptable qualification alternative to the General Securities Principal (“Series 24”) examination for associated persons who are required
NASD has filed with the SEC a proposed rule change to adopt NASD Rule 2370 to govern lending arrangements between registered persons and customers. SR-NASD-2003-92 replaces, in its entirety, File No. SR-NASD-2003-90.
NASD has filed with the SEC a proposed rule change to NASD By-Laws, Schedule A, Section 1(b)(3) to amend its Trading Activity Fee ("TAF"). NASD is amending the TAF to adjust the rates for covered equity securities. In addition, NASD is renumbering certain subsections included in Section 1.
NASD has filed with the SEC a proposed rule change to amend NASD Rule 2210 to reinsert certain existing rule language that was inadvertently omitted from amendments to Rule 2210 that the Commission recently approved.
NASD has filed with the SEC a proposed rule change to amend NASD Rule 6260(a) and (b) to require members to provide additional, descriptive information in the notice that is sent to NASD and identifies the basic terms of a new TRACE-eligible security (“new issue notification”), and to provide the information required in Rule 6250(b) to NASD by email or facsimile. Rule 6260 is one of the Trade
NASD has filed with the SEC a proposed rule change to amend Section 4(b) of Schedule A to the NASD By-Laws (hereinafter referred to as "Section 4(b)") to: (1) increase the $10.00 charge for each set of fingerprints submitted by a member to NASD for processing to $13.00; and (2) establish a $13.00 charge to be paid to NASD for posting each set of fingerprint results processed by another
NASD has filed with the SEC a proposed rule change to amend NASD Rules 2211 and 3110(g) to require that members participate in the Federal Trade Commission’s ("FTC's") national do-not-call registry.
NASD has filed with the SEC a proposed rule change to amend NASD Rule 1013 to eliminate the requirement that new member applicants include in their membership applications signed, paper Forms U4 for each associated person who is required to be registered under NASD Rules and, instead, to require new member applicants to file these Forms U4 electronically. The proposed rule change also amends Rule
