Order Rule

Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Disclosure and Consent Requirements When Trading on a Net Basis With Customers

Registered Securities Associations, National Association of Securities Dealers (NASD)

Public Comments

Title

Release Number

34-51457

SEC Issue Date

March 31, 2005

Federal Register Publish Date

April 6, 2005

Document Citation

70 FR 17489

Resources

Notice Rule: SEC Issued Version (pdf 48.94 KB)

Notice Rule: Federal Register Version

Rel. No. 34-54088

View Received Comments

Last Reviewed or Updated: March 31, 2005

Resources

Order Rule: SEC Issued Version (pdf 73.61 KB)

Order Rule: Federal Register Version

Rel. No. 34-51457

Details

Public Comments Due

April 27, 2005

File Number

SR-NASD-2004-135

Rule Type

Order

Release Number

34-54088

SEC Issue Date

June 30, 2006

Federal Register Publish Date

July 10, 2006

Document Citation

71 FR 38950

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Disclosure and Consent Requirements When Trading on a Net Basis With Customers

Public Comments

Resources

Resources

Details

More in this Section

Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Disclosure and Consent Requirements When Trading on a Net Basis With Customers

Public Comments

Notice Rule (34-51457)

Resources

Resources

Details