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NASD Rulemaking Archive: 1998

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 1998

Additional Archives


Chronological List
Release No. Date Details

SR-NASD-98-80
34-40826 Dec. 22, 1998 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Issuance of Temporary Cease and Desist Orders

SR-NASD-98-75
34-40745 Dec. 3, 1998 Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change and Amendment No. 1 Thereto Requiring Certain NASD Member Firms to Participate in the Integrated, Industry-Wide, Year 2000 Tests

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-98-67 and SR-NASD-98-56
34-40622 Oct. 30, 1998 Order Granting Approval to Proposed Rule Changes and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Thereto; Relating to the Combination of the American Stock Exchange, Inc. and the National Association of Securities Dealers, Inc., including Amendments to the Composition of the NASD Board and Relating to Policies Regarding Authority Over American Stock Exchange LLC and Composition of Board of Governors of American Stock Exchange LLC
File Nos.
SR-AMEX-98-32; SR-NASD 98-56; SR-NASD 98-67
See also:  Notice: Rel. No. 34-40615; Notice: Rel. No. 34-40443; Notice: Rel. No. 34-40339

SR-NASD-98-56
34-40615 Oct. 28, 1998 Order Granting Partial Approval to Proposed Rule Change Relating to the Small Firm Representative on NASD Board Portion of the Proposed Rule Change Relating to Amendment to Composition of NASD Board to Include Members of New Amex LLC and for Other Purposes
See also:  Order: Rel. No. 34-40622; Notice: Rel. No. 34-40339

SR-NASD-98-77
34-40592 Oct. 22, 1998 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Central Registration Depository Fees

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-98-26
34-40485 Sep. 25, 1998 Notice of Filing and Order Granting Accelerated Approval to Amendment No. 5 to a Proposed Rule Change to Institute, On a Pilot Basis, New Primary Nasdaq Market Maker Standards for Nasdaq National Market Securities
See also:  Notice/Orders: Rel. Nos. 34-40140; 34-39936; 34-39819

SR-NASD-98-67
34-40443 Sep. 16, 1998 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Policies Regarding Authority Over American Stock Exchange LLC and Composition of Board of Governors of American Stock Exchange LLC
See also:  Order: Rel. No. 34-40622

SR-NASD-98-54
34-40354 Aug. 24, 1998 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Public and Non-Member Access to Nasdaq's SelectNet and SOES Systems through a Member Firm's Own System

SR-NASD-98-56
34-40339 Aug. 19, 1998 Notice of Filing of Proposed Rule Change Relating to Amendment to Composition of NASD Board to Include Members of New Amex LLC and for Other Purposes
See also:  Order: Rel. No. 34-40622; Notice: Rel. No. 34-40615

SR-NASD-98-21
34-40211 Jul. 15, 1998 Order Approving a Proposed Rule Change to Permanently Expand the NASD's Rule Permitting Market Makers to Display Their Actual Quotation Size
See also:  Notice: Rel. No. 34-39760

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
See also:  Notice: Rel. No. 34-39760

SR-NASD-98-26
34-40140 Jun. 26, 1998 Notice of Filing and Order Granting Accelerated Partial Approval to Amendment No. 4 to Proposed Rule Change to Institute, On a Pilot Basis, New Primary Nasdaq Market Maker Standards for Nasdaq National Market Securities
See also:  Notice/Orders: Rel. Nos. 34-40485; 34-39936; 34-39819

SR-NASD-98-18
34-40005 May 19, 1998 Notice of Extension of Comment Period for Proposal Relating to Qualified Immunity in Arbitration Proceedings for Statements Made on Forms U-4 and U-5
See also:  Notice: Rel. No. 34-39892

SR-NASD-98-26
34-39936 Apr. 30, 1998 Notice of Filing and Order Granting Accelerated Partial Approval to Amendment No. 3 to Proposed Rule Changes to Institute, On a Pilot Basis, New Primary Nasdaq Market Maker Standards for Nasdaq National Market Securities
See also:  Notice/Orders: Rel. Nos. 34-40485; 34-40140; 34-39819

SR-NASD-98-18
34-39892 Apr. 21, 1998 Notice of Filing of Proposed Rule Change Relating to Qualified Immunity in Arbitration Proceedings for Statements Made on Forms U-4 and U-5
See also:  Notice: Rel. No. 34-40005

SR-NASD-98-20
34-39831 Apr. 6, 1998 Notice of Filing of Proposed Rule Change Relating to Permitting Qualified Vendors to Provide Confirmation and Affirmation Services to Institutional Customers

SR-NASD-98-26
34-39819 Mar. 30, 1998 Notice of Filing and Order Granting Accelerated Partial Approval to Proposed Rule Change to Implement, On a Pilot Basis, New Primary Nasdaq Market Maker Standards For All Nasdaq National Market Securities and to Extend the Short Sale Rule Pilot
See also:  Notice/Orders: Rel. Nos. 34-40485; 34-40140; 34-39936
Use Adobe Acrobat to view this file
Comments received are available for this notice.

SR-NASD-97-26
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
See also:  Notice/Order: Rel. No. 34-40139

SR-NASD-98-17
34-39794 Mar. 25, 1998 Notice of Extension of the Comment Period for the Proposed Rule Change Relating to an Integrated Order Delivery and Execution System
See also:  Notice: Rel. No. 34-41296; Notice: Rel. No. 34-39718

SR-NASD-98-21
34-39760 Mar. 16, 1998 Notice of Proposed Rule Change Relating to an Expansion of the NASD's Rule Permitting Market Makers to Display Their Actual Quotation Size
See also:  Order: Rel. No. 34-40211
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-98-17
34-39718 Mar. 4, 1998 Notice of Filing of Amendment No. 1 to a Proposed Rule Change Relating to an Integrated Order Delivery and Execution System
See also:  Notices: Rel. No.s 34-41296; 34-39794
Comments received are available for this notice.

SR-NASD-96-51
34-39550 Jan. 14, 1998 Order Approving Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 2, 3, and 4 to the Proposed Rule Change Relating to NASD Rule 11890 Regarding Clearly Erroneous Transactions


NASD File Number List for 1998
Release No. Date Details

SR-NASD-98-80
34-40826 Dec. 22, 1998 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Issuance of Temporary Cease and Desist Orders

SR-NASD-98-77
34-40592 Oct. 22, 1998 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Central Registration Depository Fees

SR-NASD-98-75
34-40745 Dec. 3, 1998 Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change and Amendment No. 1 Thereto Requiring Certain NASD Member Firms to Participate in the Integrated, Industry-Wide, Year 2000 Tests

SR-NASD-98-74
34-50713 Nov. 22, 2004 Order Granting Approval to Proposed Rule Change as Amended and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 5 Regarding NASD Rule 3110(f) Governing Predispute Arbitration Agreements with Customers
34-42160 Nov. 19, 1999 Notice of Filing of Proposed Rule Change Relating to Amendments to NASD Rule 3110(f) Governing Use of Predispute Arbitration Agreements with Customers
Comments received are available for this notice.

SR-NASD 98-67 and SR-NASD 98-56
34-40622 Oct. 30, 1998 Order Granting Approval to Proposed Rule Changes and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Thereto; Relating to the Combination of the American Stock Exchange, Inc. and the National Association of Securities Dealers, Inc., including Amendments to the Composition of the NASD Board and Relating to Policies Regarding Authority Over American Stock Exchange LLC and Composition of Board of Governors of American Stock Exchange LLC
File Nos. SR-AMEX-98-32; SR-NASD 98-56; SR-NASD 98-67

SR-NASD-98-67
34-40443 Sep. 16, 1998 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Policies Regarding Authority Over American Stock Exchange LLC and Composition of Board of Governors of American Stock Exchange LLC

SR-NASD-98-56
34-40615 Oct. 28, 1998 Order Granting Partial Approval to Proposed Rule Change Relating to the Small Firm Representative on NASD Board Portion of the Proposed Rule Change Relating to Amendment to Composition of NASD Board to Include Members of New Amex LLC and for Other Purposes
34-40339 Aug. 19, 1998 Notice of Filing of Proposed Rule Change Relating to Amendment to Composition of NASD Board to Include Members of New Amex LLC and for Other Purposes

SR-NASD-98-54
34-40354 Aug. 24, 1998 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Public and Non-Member Access to Nasdaq's SelectNet and SOES Systems through a Member Firm's Own System

SR-NASD-98-26
34-40485 Sep. 25, 1998 Notice of Filing and Order Granting Accelerated Approval to Amendment No. 5 to a Proposed Rule Change to Institute, On a Pilot Basis, New Primary Nasdaq Market Maker Standards for Nasdaq National Market Securities
34-40140 Jun. 26, 1998 Notice of Filing and Order Granting Accelerated Partial Approval to Amendment No. 4 to Proposed Rule Change to Institute, On a Pilot Basis, New Primary Nasdaq Market Maker Standards for Nasdaq National Market Securities
34-39936 Apr. 30, 1998 Notice of Filing and Order Granting Accelerated Partial Approval to Amendment No. 3 to Proposed Rule Changes to Institute, On a Pilot Basis, New Primary Nasdaq Market Maker Standards for Nasdaq National Market Securities
34-39819 Mar. 30, 1998 Notice of Filing and Order Granting Accelerated Partial Approval to Proposed Rule Change to Implement, On a Pilot Basis, New Primary Nasdaq Market Maker Standards For All Nasdaq National Market Securities and to Extend the Short Sale Rule Pilot
Use Adobe Acrobat® to view this file
Comments received are available for this notice.

SR-NASD-98-21
34-40211 Jul. 15, 1998 Order Approving a Proposed Rule Change to Permanently Expand the NASD's Rule Permitting Market Makers to Display Their Actual Quotation Size
34-39760 Mar. 16, 1998 Notice of Proposed Rule Change Relating to an Expansion of the NASD's Rule Permitting Market Makers to Display Their Actual Quotation Size
Comments received are available for this notice.

SR-NASD-98-20
34-39831 Apr. 6, 1998 Notice of Filing of Proposed Rule Change Relating to Permitting Qualified Vendors to Provide Confirmation and Affirmation Services to Institutional Customers

SR-NASD-98-18
34-40005 May 19, 1998 Notice of Extension of Comment Period for Proposal Relating to Qualified Immunity in Arbitration Proceedings for Statements Made on Forms U-4 and U-5
34-39892 Apr. 21, 1998 Notice of Filing of Proposed Rule Change Relating to Qualified Immunity in Arbitration Proceedings for Statements Made on Forms U-4 and U-5

SR-NASD-98-17
34-39794 Mar. 25, 1998 Notice of Extension of the Comment Period for the Proposed Rule Change Relating to an Integrated Order Delivery and Execution System
34-41296 Apr. 15, 1999 Notice of Filing of Proposed Rule Change to Modify its Small Order Execution System and SelectNet Service; Reopening of Comment Period on Nadsaq's Limit Order Book Proposal
Comments received are available for this notice.
34-39718 Mar. 4, 1998 Notice of Filing of Amendment No. 1 to a Proposed Rule Change Relating to an Integrated Order Delivery and Execution System
Comments received are available for this notice.

 

http://www.sec.gov/rules/sro/nasd/nasdarchive/nasdarchive1998.shtml


Modified: 06/16/2008