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Notice Rule

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

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

Public Comments

View Received Comments

Last Reviewed or Updated: Nov. 1, 2006

Resources

Notice Rule: SEC Issued Version (pdf 74.76 KB)

Notice Rule: Federal Register Version

Details

Public Comments Due

Nov. 29, 2006

File Number

SR-NASD-2006-103

Rule Type

Notice

Release Number

34-54681

SEC Issue Date

Nov. 1, 2006

Federal Register Publish Date

Nov. 8, 2006

Document Citation

71 FR 65555

Rules & Regulations

Enforcement & Litigation

Compliance

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

Public Comments

Resources

Details

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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

Public Comments

Resources

Details