This filing was withdrawn and replaced by
SR-NASD-2006-035.NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Interpretive Material (IM) 2110-2, Trading Ahead of Customer Limit Order (commonly referred to as the "Manning Rule"), to codify NASD's existing position that the Manning Rule
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Rule 2860 to: (a) revise the definition of the term "underlying index" to include all indexes underlying standardized index options and other indexes that meet certain specified criteria; and (b) allow members to calculate the position limits,
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to expand the scope of Rule 2440 and Interpretive Material (IM) 2440 relating to fair prices and commissions to apply to all securities transactions, whether executed over-the-counter ("OTC") or on an exchange.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") Notice to Members ("NTM") 06-03, which provides guidance regarding the application of new Rule 2111 prohibiting members from trading ahead of customer market orders under certain circumstances.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to extend through June 30, 2006, the current pilot price-improvement standards for decimalized securities contained in NASD Interpretive Material 2110-2 - Trading Ahead of Customer Limit Order ("Manning Rule" or "Manning").
NASD has filed with the SEC a proposed rule change to amend NASD Rule 3010(a)(7) to require that registered principals, in addition to registered representatives, attend an annual compliance meeting. NASD also is proposing a technical amendment to Rule 3010(a) to clarify that each member is required to establish and maintain a system to supervise the activities of each registered
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 create a new rule, proposed NASD Rule 2821, that includes recommendation requirements (including a suitability obligation), principal review and approval requirements, and supervisory and training requirements tailored specifically to transactions in deferred variable annuities.
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 Regulation Department (the "Department").
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
