NASD Rules definition

NASD Rules means the Conduct Rules and the By-Laws of the National Association of Securities Dealers, Inc.

Examples of NASD Rules in a sentence

  • While the NASD Rules generally apply to all FINRA members, the Incorporated NYSE Rules apply only to those members of FINRA that are also members of the NYSE (“Dual Members”).

  • Purpose BackgroundThe CE requirements under FINRA Rule 1250 consist of a Regulatory Element4 and a Firm Element.5The Regulatory Element applies to registered persons6 and consists of periodic NASD Rules and Incorporated NYSE Rules are referred to as the “Transitional Rulebook”).

  • Quote Size When Displaying Customer Limit OrdersTo facilitate the display of customer limit orders in accordance with the Display Rule, the NASD proposes toamend NASD Rules 4613 and 6330 toprovide that Nasdaq market makers and CQS market makers may display aquotation size for one normal unit of trading ( i.e., 100 shares) or a largermultiple thereof to reflect the actual size of a customer limit order.

More Definitions of NASD Rules

NASD Rules means the Conduct Rules and the By-Laws of the NASD.
NASD Rules has the meaning set forth in Section 3(s) hereof.
NASD Rules means the rules set forth in the NASD Manual.
NASD Rules means the rules and regulation promulgated by the NASD.
NASD Rules means the Rules of the NASD, as amended from time to time.
NASD Rules means all applicable laws (including intellectual property, communications, and securi- ties laws), statutes, and regulations, the rules and regulations of the SEC, the rules and regulations of the Corporations including, but not limited to, those requirements established by the Corporations’ rule filings (with such SEC approval as may be required), the Corporations’ decisions and interpretations and any User Guides, or suc- cessors of the components of the NASD Rules, as they may exist at the time. If any payment is due directly to Nasdaq under this Agreement, payment in full is due Nasdaq in immediately available U.S. funds, within 30 days of date of invoice, whether or not use is made of the Information. Interest shall be due from the date of the invoice to the time that the amount(s) that are due have been paid. Subscriber shall assume full and complete responsibility for the payment of any taxes, charges or assessments imposed on Subscriber or Nasdaq (except for U.S. federal, state, or local income taxes, if any, imposed on Nasdaq) by any foreign or domestic national, state, provincial or local gov- ernmental bodies, or subdivisions thereof, and any penalties or interest, relating to the provision of the Information to Subscriber.
NASD Rules has the meaning set forth in Section 4.3(o).