Friday, September 21, 2007 9:38:40 PM
From the curent rule that is effective Oct. 15th.
NASD Rule 3210, which became effective on July
3, 2006, applies the Regulation SHO close-out
framework to non-reporting equity securities with
aggregate fails to deliver equal to, or greater than,
10,000 shares and that have a last reported sale
price during normal trading hours that would value
the aggregate fail to deliver position at $50,000 or
greater for five consecutive settlement days. See
Exchange Act Release No. 53596 (April 4, 2006), 71
FR 18392 (April 11, 2006) (SR–NASD–2004–044).
Consistent with the amendment to eliminate the
grandfather provision of Regulation SHO, we
anticipate the NASD would propose similar
amendments to NASD Rule 3210.
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