SR-NASD-1999-037
Hard to Borrow List
NASDR has filed with the SEC a proposed rule change to amend NASD Rule 3370 to permit the use of a "Hard to Borrow" list to comply with the affirmative determination requirement for short sales.
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 31.71 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 30.55 KB | |
| Amendment No. 2 to Proposed Rule Change | PDF - 5.55 KB | |
| Federal Register Notice | PDF - 125.44 KB | |
| Approval Order | PDF - 126.05 KB |