Comments on NASD Rulemaking

Notice of Filing of a Proposed Rule Change Relating to TRACE Requirements in Connection with the Exercise or Settlement of Options, Swaps, or Similar Instruments

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Date Received
Date Letter Type Commenter Name
Public Comment Mary C.M. Kuan, Vice President and Assistant General Counsel, Securities Industry and Financial Markets Association

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NASD-2006-103
Release Number
34-54681
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