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Notice Rule

Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Regarding Guidance for Adjudicating Clearly Erroneous Transactions Under NASD Rule 11890

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

Last Reviewed or Updated: Dec. 5, 2006

Resources

Notice Rule: SEC Issued Version (pdf 343.93 KB)

Notice Rule: Federal Register Version

Details

Public Comments Due

Jan. 2, 2007

File Number

SR-NASD-2006-123

Rule Type

Notice

Release Number

34-54873

SEC Issue Date

Dec. 5, 2006

Federal Register Publish Date

Dec. 11, 2006

Document Citation

71 FR 71600

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Regarding Guidance for Adjudicating Clearly Erroneous Transactions Under NASD Rule 11890

Resources

Details

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Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Regarding Guidance for Adjudicating Clearly Erroneous Transactions Under NASD Rule 11890

Resources

Details