Skip to search field Skip to main content

Official websites use .gov
A .gov website belongs to an official government organization in the United States.

Secure .gov websites use HTTPS
A lock () or https:// means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites.

Notice Rule

Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend Its Financial Responsibility Rules To Reflect Changes to Corresponding FINRA Rules

National Securities Exchanges, The Nasdaq Stock Market LLC (NASDAQ)

Last Reviewed or Updated: Jan. 27, 2010

Resources

Notice Rule: SEC Issued Version (pdf 77.68 KB)

Notice Rule: Federal Register Version

Details

Public Comments Due

Feb. 25, 2010

File Number

SR-NASDAQ-2010-009

Rule Type

Notice

Release Number

34-61429

SEC Issue Date

Jan. 27, 2010

Federal Register Publish Date

Feb. 4, 2010

Document Citation

75 FR 5822

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend Its Financial Responsibility Rules To Reflect Changes to Corresponding FINRA Rules

Resources

Details

More in this Section

Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend Its Financial Responsibility Rules To Reflect Changes to Corresponding FINRA Rules

Resources

Details