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NASD Rulemaking Archive: 1999

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 1999

Additional Archives


Chronological List
Release No. Date Details

SR-NASD-99-53
34-42249 Dec. 17, 1999 Notice of Extension of the Comment Period for the Proposed Rule Change Relating to the Establishment of the Nasdaq Order Display Facility and Modifications of the Nasdaq Trading Platform
See also:  Release No. 4-646; Orders: Rel. Nos. 34-46429, 34-43863; Notices: Rel. Nos. 34-43514, 34-43138, 34-42573, 34-42166
Comments received are available for this notice.

SR-NASD-99-45
34-42240 Dec. 16, 1999 Notice of Filing of Proposed Rule Change Relating to Amendments to the Public Disclosure Program
See also:  Order: Rel. No. 34-42402

SR-NASD-99-48
34-42231 Dec. 14, 1999 Order Approving Proposed Rule Change Amending Its Audit Committee Requirements and Notice of Filing and Order Granting Accelerated Approval of Amendments No. 1 and No. 2 Thereto
See also:  Notice: Rel. No. 34-41982

SR-NASD-99-65
34-42201 Dec. 3, 1999 Notice of Filing of Proposed Rule Change Relating to the Creation of a Corporate Bond Trade Reporting and Transaction Dissemination Facility and the Elimination of Nasdaq's Fixed Income Pricing System ("FIPS")
See also:  Notice: Rel. No. 34-43616

SR-NASD-99-53
34-42166 Nov. 22, 1999 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to the Establishment of the Nasdaq Order Display Facility and Modifications of the Nasdaq Trading Platform
See also:  Release No. 4-646; Orders: Rel. Nos. 34-46429, 34-43863; Notices: Rel. Nos. 34-43514, 34-43138, 34-42573, 34-42249,
Comments received are available for this notice.

SR-NASD-98-74
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
See also:  Order: Rel. No. 34-50713
Comments received are available for this notice.

SR-NASD-99-57
34-42003 Oct. 13, 1999 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Relating to the Extension of Certain Nasdaq Services and Facilities Until 6:30 P.M. Eastern Time
Comments received are available for this notice.

SR-NASD-99-48
34-41982 Oct. 6, 1999 Notice of Filing of Proposed Rule Change Amending Nasdaq's Audit Committee Requirements
See also:  Order: Rel. No. 34-42231
Comments received are available for this notice.

SR-NASD-99-07
34-41833 Sep. 2, 1999 Order Granting Approval to Proposed Rule Change Creating a Discovery Guide for Use in NASD Arbitrations
See also:  Notice: Rel. No. 34-41302

SR-NASD-99-20
34-41390 May 12, 1999 Notice of Filing of Proposed Rule Change Relating to Firm Quotation Requirements
Comments received are available for this notice.

SR-NASD-99-16
34-41343 Apr. 28, 1999 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Agency Quotations and Access Fees
Comments received are available for this notice.

SR-NASD-99-07
34-41302 Apr. 16, 1999 Notice of Filing of Proposed Rule Change Creating a Discovery Guide for Use in NASD Arbitrations
See also:  Order: Rel. No. 34-41833
Comments received are available for this notice.

SR-NASD-98-17
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
See also:  Notice: Rel. No. 34-39794; Notice: Rel. No. 34-39718
Comments received are available for this notice.

SR-NASD-99-09
34-41243 Apr. 1, 1999 Notice of Extension of Comment Period for Proposed Rule Change Relating to the Establishment of an Agency Quotation in Nasdaq
See also:  Notice: Rel. No. 34-41243

SR-NASD-99-09
34-41128 Mar. 2, 1999 Notice of Filing of Proposed Rule Change Relating to the Establishment of an Agency Quotation in Nasdaq
See also:  Notice: Rel. No. 34-41243
Comments received are available for this notice.


NASD File Number List for 1999
Release No. Date Details

SR-NASD-99-75
34-42536 Mar. 16, 2000 Order Granting Approval to Proposed Rule Change Relating to ECN and ATS Participation in the ITS/CAES System

SR-NASD-99-65
34-43616 Nov. 24, 2000 Notice of Filing of Amendment Nos. 2 and 3 to Proposed Rule Change Relating to the Creation of a Corporate Bond Trade Reporting and Transaction Dissemination Facility and the Elimination of Nasdaq's Fixed Income Pricing System
Comments received are available for this notice.
34-42201 Dec. 3, 1999 Notice of Filing of Proposed Rule Change Relating to the Creation of a Corporate Bond Trade Reporting and Transaction Dissemination Facility and the Elimination of Nasdaq's Fixed Income Pricing System ("FIPS")

SR-NASD-99-60
34-48701 Oct. 24, 2003 Order Approving Proposed Rule Change and Amendment Nos. 1 through 4 Thereto and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 5 Thereto Relating to Restrictions on the Purchases and Sales of Initial Public Offerings of Equity Securities
34-43267 Nov. 28, 2000 Notice of Filing of Amendment No. 2 to Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Trading in Hot Equity Offerings
34-42325 Jan. 10, 2000 Notice of Filing of Proposed Rule Change Relating to Trading in Hot Equity Offerings
Comments received are available for this notice.

SR-NASD-99-57
34-42003 Oct. 13, 1999 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Relating to the Extension of Certain Nasdaq Services and Facilities Until 6:30 P.M. Eastern Time
Comments received are available for this notice.

SR-NASD-99-53
34-46429 Aug. 29, 2002 Order with respect to the implementation of Nasdaq's Supermontage Facility
See also:  Release No. 4-646
34-43863 Jan. 19, 2001 Order Approving Proposed Rule Changes and Amendment Nos. 1, 2, 3, 4, 5, 6, 7 and 8 Thereto and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 9 Relating to the Establishment of the Nasdaq Order Display Facility and Order Collector Facility and Modifications of the Nasdaq Trading Platform ("SuperMontage")
34-43514 Nov. 3, 2000 Notice of Filing of Amendment No. 8 to Proposed Rule Change Relating to the Establishment of Nasdaq Order Display Facility and to Modifications of the Nasdaq Trading Platform
34-43138 Aug. 10, 2000 Notice of Filing of Amendment Nos. 5, 6, and 7 to Proposed Rule Change Relating to the Establishment of Nasdaq Order Display Facility and to Modifications of the Nasdaq Trading Platform
Comments received are available for this notice.
34-42573 Mar. 23, 2000 Notice of Filing of Amendment No. 4 to Proposed Rule Change Relating to the Establishment of Nasdaq Order Display Facility and to Modifications of the Nasdaq Trading Platform
Comments received are available for this notice.
34-42249 Dec. 17, 1999 Notice of Extension of the Comment Period for the Proposed Rule Change Relating to the Establishment of the Nasdaq Order Display Facility and Modifications of the Nasdaq Trading Platform
34-42166 Nov. 22, 1999 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to the Establishment of the Nasdaq Order Display Facility and Modifications of the Nasdaq Trading Platform
Comments received are available for this notice.

SR-NASD-99-48
34-42231 Dec. 14, 1999 Order Approving Proposed Rule Change Amending Its Audit Committee Requirements and Notice of Filing and Order Granting Accelerated Approval of Amendments No. 1 and No. 2 Thereto
34-41982 Oct. 6, 1999 Notice of Filing of Proposed Rule Change Amending Nasdaq's Audit Committee Requirements
Comments received are available for this notice.

SR-NASD-99-45
34-42402 Feb. 7, 2000 Order Granting Approval to Proposed Rule Change Relating to Amendments to the Public Disclosure Program
34-42240 Dec. 16, 1999 Notice of Filing of Proposed Rule Change Relating to Amendments to the Public Disclosure Program

SR-NASD-99-41
34-43021 Jul. 10, 2000 Order Approving Proposed Rule Change and Amendment No. 1 and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 2 Relating to the Opening of Day-Trading Accounts
34-42452 Feb. 23, 2000 Notice of Filing of Amendment No. 1 to the Proposed Rule Change Relating to the Opening of Day-Trading Accounts
Comments received are available for this notice.

SR-NASD-99-23
34-42400 Feb. 7, 2000 Order Approving a Proposed Rule Change and Amendment No. 1 to the Proposed Rule Change Relating to Locked and Crossed Markets that Occur Prior to the Opening of the Market

SR-NASD-99-20
34-41390 May 12, 1999 Notice of Filing of Proposed Rule Change Relating to Firm Quotation Requirements
Comments received are available for this notice.

SR-NASD-99-16
34-41343 Apr. 28, 1999 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Agency Quotations and Access Fees
Comments received are available for this notice.

SR-NASD-99-09
34-41243 Apr. 1, 1999 Notice of Extension of Comment Period for Proposed Rule Change Relating to the Establishment of an Agency Quotation in Nasdaq
34-41128 Mar. 2, 1999 Notice of Filing of Proposed Rule Change Relating to the Establishment of an Agency Quotation in Nasdaq
Comments received are available for this notice.

SR-NASD-99-07
34-41833 Sep. 2, 1999 Order Granting Approval to Proposed Rule Change Creating a Discovery Guide for Use in NASD Arbitrations
34-41302 Apr. 16, 1999 Notice of Filing of Proposed Rule Change Creating a Discovery Guide for Use in NASD Arbitrations
Comments received are available for this notice.

 

http://www.sec.gov/rules/sro/nasd/nasdarchive/nasdarchive1999.shtml


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