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NASD Rulemaking Archive: 1997

We encourage the public to submit comments on the following filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this web site.

Note: Only selected Self-Regulatory Organization rule proposals were posted to the SEC web site prior to 2004. To obtain copies of releases not appearing on the web site, please refer to How to Request Public Documents.

Available NASD Rules include:

Chronological List

NASD File Number List for 1997

Additional Archives


Chronological List
Release No. Date Details

SR-NASD-97-50
34-39490 Dec. 24 , 1997 Order Approving Proposed Rule Change By the NASD To Extend From 15 Seconds To 17 Seconds the Amount of Time a Market Maker Has To Update Its Quote After an Order Execution in SOES Before Being Required To Execute a Subsequent Order

SR-NASD-97-77
34-39421 Dec. 10, 1997 Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to the Arbitration of Employment Discrimination Claims

SR-NASD-97-04
34-39423 Dec. 10, 1997 Order Approving Proposed Rule Changes and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Thereto Regarding Excused Market Maker Withdrawals and Reinstatements

SR-NASD-97-47
34-39371 Nov. 26, 1997 Notice of Filing of Proposed Rule Change Relating to Punitive Damages in Arbitration

SR-NASD-97-28
34-38545 Apr. 24, 1997 Notice of Filing of Proposed Rule Change by the NASD to Proposed Changes in the By-Laws of the NASD, NASD Regulation, Inc., The Nasdaq Stock Market, Inc., the Plan of Allocation and Delegation of Functions by the NASD to Subsidiaries, Membership Application Procedures, Disciplinary Proceedings, and Other Conforming Changes


NASD File Number List for 1997
Release No. Date Details

SR-NASD-97-89
34-40627 Nov. 2, 1998 Notice of Filing of Proposed Rule Change Relating to Bond Mutual Fund Volatility Ratings

SR-NASD-97-77
34-39421 Dec. 10, 1997 Notice of Filing of Proposed Rule Change Relating to the Arbitration of Employment Discrimination Claims

SR-NASD-97-61
34-40511 Sep. 30, 1998 Notice of Filing of Proposed Rule Change and Amendments Nos. 1 and 2 Relating to the Application of NASD's Mark-Up Policy to Transactions in Government and Other Debt Securities
Comments received are available for this notice.

SR-NASD-97-56
34-39729 Mar. 6, 1998 Order Approving Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 2, 3, 4, 5, and 6 to Proposed Rule Change to Amend Rule 3110 and to Adopt New Rules 6950 Through 6957 Relating to the Creation of an Order Audit Trail System

SR-NASD-97-50
34-39490 Dec. 24 , 1997 Order Approving Proposed Rule Change By the NASD To Extend From 15 Seconds To 17 Seconds the Amount of Time a Market Maker Has To Update Its Quote After an Order Execution in SOES Before Being Required To Execute a Subsequent Order

SR-NASD-97-47
34-39371 Nov. 26, 1997 Notice of Filing of Proposed Rule Change Relating to Punitive Damages in Arbitration

SR-NASD-97-28
34-38545 Apr. 24, 1997 Notice of Filing of Proposed Rule Change by the NASD to Proposed Changes in the By-Laws of the NASD, NASD Regulation, Inc., The Nasdaq Stock Market, Inc., the Plan of Allocation and Delegation of Functions by the NASD to Subsidiaries, Membership Application Procedures, Disciplinary Proceedings, and Other Conforming Changes

SR-NASD-97-26
34-40139 Jun. 26, 1998 Notice of Filing and Order Granting Accelerated Approval to Amendment No. 5 Relating to an Extension of the Pilot for the NASD's Rule Permitting Market Makers to Display Their Actual Quotation Size
34-39799 Mar. 25, 1998 Notice of Filing and Order Granting Accelerated Approval to Amendment No. 4 Relating to an Extension of the Pilot for the NASD's Rule Permitting Market Makers To Display Their Actual Quotation Size

SR-NASD-97-04
34-39423 Dec. 10, 1997 Order Approving Proposed Rule Changes and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Thereto Regarding Excused Market Maker Withdrawals and Reinstatements

 

http://www.sec.gov/rules/sro/nasd/nasdarchive/nasdarchive1997.shtml


Modified: 10/16/2014