SUGGESTED ROUTING
Legal & Compliance
Operations
Systems
Trading
Executive Summary
The Nasdaq Stock Market, Inc. (Nasdaq®) Board of Directors approved, and the National Association of Securities Dealers, Inc. (NASD®) Board of Governors rati- fied, a decision to allow NASD Rule 4613(d)—the "excess spread" rule for Nasdaq securities—to lapse as of October
Proposed Rule Change Relating to Alternative Trading System Volume and Trading Information
SUGGESTED ROUTING
Legal & Compliance
Registration
Systems
Training
Executive Summary
On September 8, 1995, the Securities and Exchange Commission (SEC) approved NASD® Rule 3070 (formerly Article III, Section 50 of the NASD Rules of Fair Practice) (the Rule) for reporting customer complaint information and other specified events to NASD Regulation, Inc. (NASD Regulation). The
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered
SEC Approves Amendments to the Codes of Arbitration Procedure to Increase the Fees Assessed for Late Cancellation or Postponement of a Hearing
The NASD, through its wholly owned subsidiary, NASD Dispute Resolution, Inc., has filed with the SEC a proposed rule change to amend the Code of Arbitration Procedure ("Code") to simplify or clarify several fee-related provisions of the Code.
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend NASD Rules 10308 and 10312 to provide authority for the Director of Arbitration to remove arbitrators for cause after hearings have begun.
Proposed Rule Change to Amend the By-Laws of NASD to Implement Governance and Related Changes to Accommodate the Consolidation of the Member Firm Regulatory Functions of NASD and NYSE Regulation, Inc.
NASDR has filed with the SEC a proposed rule change to amend its By-Laws to clarify that the outgoing members of the National Adjudicatory Council are to select a Chair and Vice Chair from among the members who will be serving in the following year.
