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NASD Rulemaking Archive: 2002

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 2002

Additional Archives


Chronological List
Release No. Date Details

SR-NASD-2002-154
34-47110 Dec. 31, 2002 Notice of Filing of Proposed Rule Changes by the New York Stock Exchange, Inc. Relating to Exchange Rules 344 ("Supervisory Analysts"), 345A ("Continuing Education for Registered Persons"), 351 ("Reporting Requirements") and 472 ("Communications with the Public") and by the National Association of Securities Dealers, Inc. Relating to Research Analyst Conflicts of Interest
File No.:
  SR-NYSE-2002-49
See also:  Order: Rel. No. 34-48252;
Notice: Rel. No. 34-47912
Comments received are available for this notice.

SR-NASD-2002-162
34-47021 Dec. 18, 2002 Notice of Extension of Comment Period for the Proposed Rule Changes by the National Association of Securities Dealers, Inc. and New York Stock Exchange, Inc. Relating to Supervisory Control Amendments
File No.:
  SR-NYSE-2002-36
See also:  Order: Rel. No. 34-49883; Notices: Rel. Nos. 34-48460; 34-48298; 34-46859

SR-NASD-2002-162
34-46859 Nov. 20, 2002 Notice of Filing of Proposed Rule Change Relating to Supervisory Control Amendments
See also:  Order: Rel. No. 34-49883; Notices: Rel. Nos. 34-48460; 34-48298; 34-47021
Comments received are available for this notice.

SR-NASD-2002-140
34-46649 Oct. 11, 2002 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Shareholder Approval for Stock Option Plans or Other Arrangements
See also:  Order: Rel. No. 34-48108
Comments received are available for this notice.

SR-NASD-2002-108
34-46444 Aug. 30, 2002 Notice of Filing of Proposed Rule Change Relating to Business Continuity Plans and Emergency Contact Information
See also:  Order: Rel. No. 34-49537; Notice: Rel. No. 34-48503
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. 4-464; Order: Rel. No. 34-43863; Notices: Rel. Nos. 34-43514; 34-43138; 34-42573; 34-42249; 34-42166

SR-NASD-2002-97
34-46249 Jul. 24, 2002 Notice of Filing and Order Granting Accelerated Approval on a Pilot Basis to a Proposed Rule Change Relating to the Operation of the Alternative Display Facility for Quoting and Trading in Securities of The Nasdaq Stock Market, Inc.
Comments received are available for this notice.

SR-NASD-2002-61
34-46159 Jul. 2, 2002 Order of Summary Abrogation
File Nos.:
  SR-NASD-2002-61, SR-NASD-2002-68, SR-CSE-2002-06, and SR-PCX-2002-37

SR-NASD-2001-90
34-45991 May 28, 2002 Notice of Filing of Amendment No. 2 to a Proposed Rule Change Relating to Nasdaq's Proposed Separation from the NASD and the Establishment of the NASD Alternative Display Facility
Comments received are available for this notice.

SR-NASD-2002-21
34-45908 May 10, 2002 Order Approving Proposed Rule Changes by the National Association of Securities Dealers, Inc. and the New York Stock Exchange, Inc. and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 2 to the Proposed Rule Change and Amendment No. 1 to the Proposed Rule Change by the New York Stock Exchange, Inc. Relating to Research Analyst Conflicts of Interest
File Nos.:  SR-NYSE-2002-09
See also:  Notices: Rel. Nos. 34-45679; 34-45526

SR-NASD-2002-24
34-45798 Apr. 22, 2002 Order Approving Proposed Rule Changes Relating to Anti-Money Laundering Compliance Programs
File Nos.:
  SR-NASD-2002-24 and SR-NYSE-2002-10

SR-NASD-2002-21
34-45679 Apr. 2, 2002 Notice of Extension of the Comment Period for the Proposed Rule Changes by the National Association of Securities Dealers, Inc. and the New York Stock Exchange, Inc. Relating to Research Analyst Conflicts of Interest
File Nos.:  SR-NYSE-2002-09
See also:  Order: Rel. No. 34-45908; Notice: Rel. No. 34-45526

SR-NASD-2002-05
34-45531 Mar. 11, 2002 Order Granting Approval to Proposed Rule Change Relating to Revisions to Form U-4 and Form U-5

SR-NASD-2002-21
34-45526 Mar. 8, 2002 Notice of Filing of Proposed Rule Changes by the National Association of Securities Dealers, Inc. and the New York Stock Exchange, Inc. Relating to Research Analyst Conflicts of Interest
File Nos.:  SR-NYSE-2002-09
See also:  Order: Rel. No. 34-45908; Notice: Rel. No. 34-45679
Comments received are available for this notice.

SR-NASD-2002-28
34-45501 Mar. 4, 2002 Notice of Filing of Proposed Rule Change Relating to Fees Applicable to the NASD Alternative Display Facility
Comments received are available for this notice.


NASD File Number List for 2002
Release No. Date Details

SR-NASD-2002-168
34-47435 Mar. 4, 2003 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Proposed Rule 2130 Concerning the Expungement of Customer Dispute Information From the Central Registration Depository System
See also:  Order: Rel. No. 34-48933
Comments received are available for this notice.

SR-NASD-2002-162
34-49883 Jun. 17, 2004 Order Approving Proposed Rule Change and Amendments No. 1 and 2 Relating to Internal Controls and Supervisory Control Amendments and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 3.
34-48460 Sep. 8, 2003 Notice of Extension of Comment Period for the Amendments to Proposed Rule Changes and New York Stock Exchange, Inc. Relating to Supervisory Control Amendments
File Nos.:
  SR-NYSE-2002-36
34-48298 Aug. 7, 2003 Notice of Filing of Amendment Nos. 1 and 2 to Proposed Rule Change Relating to Supervisory Control Amendments
34-47021 Dec. 18, 2002 Notice of Extension of Comment Period for the Proposed Rule Changes by the National Association of Securities Dealers, Inc. and New York Stock Exchange, Inc. Relating to Supervisory Control Amendments
File No.:  SR-NYSE-2002-36
34-46859 Nov. 20, 2002 Notice of Filing of Proposed Rule Change Relating to Supervisory Control Amendments
Comments received are available for this notice.

SR-NASD-2002-154
34-48252 Jul. 29, 2003 Order Approving Proposed Rule Changes by the New York Stock Exchange, Inc. Relating to Exchange Rules 344 ("Supervisory Analysts"), 345A ("Continuing Education for Registered Persons"), 351 ("Reporting Requirements") and 472 ("Communications with the Public") and by the National Association of Securities Dealers, Inc. Relating to Research Analyst Conflicts of Interest and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 3 to the Proposed Rule Change by the New York Stock Exchange, Inc and Amendment No. 3 to the Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Research Analyst Conflicts of Interest
File Nos.:
  SR-NYSE-2002-49
Additional Materials:

NYSE Amendment No. 3 (includes response to comments)
NASD Amendment No. 3
NASD Response to Comments
34-47912 May 22, 2003 Notice of Filing of Amendment No. 2 to Proposed Rule Changes by the New York Stock Exchange, Inc. Relating to Exchange Rules 344 ("Supervisory Analysts"), 345A ("Continuing Education for Registered Persons"), 351 ("Reporting Requirements") and 472 ("Communications with the Public") and by the National Association of Securities Dealers, Inc. Relating to NASD Rule 2711 ("Research Analysts and Research Reports")
File Nos.:
  SR-NYSE-2002-49
34-47110 Dec. 31, 2002 Notice of Filing of Proposed Rule Changes by the New York Stock Exchange, Inc. Relating to Exchange Rules 344 ("Supervisory Analysts"), 345A ("Continuing Education for Registered Persons"), 351 ("Reporting Requirements") and 472 ("Communications with the Public") and by the National Association of Securities Dealers, Inc. Relating to Research Analyst Conflicts of Interest
File No.:  SR-NYSE-2002-49
Comments received are available for this notice.

SR-NASD-2002-141
34-48745 Nov. 4, 2003 Order Approving Proposed Rule Changes (SR-NYSE-2002-33 and SR-NASD-2002-141) and Amendments No. 1 thereto; Order Approving Proposed Rule Changes (SR-NASD-2002-77, SR-NASD-2002-80, SR-NASD-2002-138 and SR-NASD-2002-139) and Amendments No. 1 to SR-NASD-2002-80 and SR-NASD-2002-139; and Notice of Filing and Order Granting Accelerated Approval of Amendment Nos. 2 and 3 to SR-NYSE-2002-33, Amendment Nos. 2, 3, 4 and 5 to SR-NASD-2002-141, Amendment Nos. 2 and 3 to SR-NASD-2002-80, Amendment Nos. 1, 2, and 3 to SR-NASD-2002-138, and Amendment No. 2 to SR-NASD-2002-139, Relating to Corporate Governance
File Nos.:
  SR-NYSE-2002-33, SR-NASD-2002-77, SR-NASD-2002-80, SR-NASD-2002-138, SR-NASD-2002-139, and SR-NASD-2002-141
Comments received for SR-NYSE-2002-33 are available for this notice.

Comments received for SR-NASD-2002-77 are available for this notice.

Comments received for SR-NASD-2002-80 are available for this notice.

Comments received for SR-NASD-2002-138 are available for this notice.

Comments received for SR-NASD-2002-139 are available for this notice.

Comments received for SR-NASD-2002-141 are available for this notice.
34-47516 Mar. 17, 2003 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Proposed Amendments to NASD Rules 4200 and 4350 Regarding Board Independence and Independent Committee
Comments received are available for this notice.

SR-NASD-2002-140
34-48108 Jun. 30, 2003 Order Approving NYSE and Nasdaq Proposed Rule Changes and Nasdaq Amendment No. 1 and Notice of Filing and Order Granting Accelerated Approval to NYSE Amendments No. 1 and 2 and Nasdaq Amendments No. 2 and 3 Thereto Relating to Equity Compensation Plans
File No.:
  SR-NYSE-2002-46
34-46649 Oct. 11, 2002 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Shareholder Approval for Stock Option Plans or Other Arrangements
Comments received are available for this notice.

SR-NASD-2002-139
34-48745 Nov. 4, 2003 Order Approving Proposed Rule Changes (SR-NYSE-2002-33 and SR-NASD-2002-141) and Amendments No. 1 thereto; Order Approving Proposed Rule Changes (SR-NASD-2002-77, SR-NASD-2002-80, SR-NASD-2002-138 and SR-NASD-2002-139) and Amendments No. 1 to SR-NASD-2002-80 and SR-NASD-2002-139; and Notice of Filing and Order Granting Accelerated Approval of Amendment Nos. 2 and 3 to SR-NYSE-2002-33, Amendment Nos. 2, 3, 4 and 5 to SR-NASD-2002-141, Amendment Nos. 2 and 3 to SR-NASD-2002-80, Amendment Nos. 1, 2, and 3 to SR-NASD-2002-138, and Amendment No. 2 to SR-NASD-2002-139, Relating to Corporate Governance
File Nos.:
  SR-NYSE-2002-33, SR-NASD-2002-77, SR-NASD-2002-80, SR-NASD-2002-138, SR-NASD-2002-139, and SR-NASD-2002-141
Comments received for SR-NYSE-2002-33 are available for this notice.

Comments received for SR-NASD-2002-77 are available for this notice.

Comments received for SR-NASD-2002-80 are available for this notice.

Comments received for SR-NASD-2002-138 are available for this notice.

Comments received for SR-NASD-2002-139 are available for this notice.

Comments received for SR-NASD-2002-141 are available for this notice.

SR-NASD-2002-138
34-48745 Nov. 4, 2003 Order Approving Proposed Rule Changes (SR-NYSE-2002-33 and SR-NASD-2002-141) and Amendments No. 1 thereto; Order Approving Proposed Rule Changes (SR-NASD-2002-77, SR-NASD-2002-80, SR-NASD-2002-138 and SR-NASD-2002-139) and Amendments No. 1 to SR-NASD-2002-80 and SR-NASD-2002-139; and Notice of Filing and Order Granting Accelerated Approval of Amendment Nos. 2 and 3 to SR-NYSE-2002-33, Amendment Nos. 2, 3, 4 and 5 to SR-NASD-2002-141, Amendment Nos. 2 and 3 to SR-NASD-2002-80, Amendment Nos. 1, 2, and 3 to SR-NASD-2002-138, and Amendment No. 2 to SR-NASD-2002-139, Relating to Corporate Governance
File Nos.:
  SR-NYSE-2002-33, SR-NASD-2002-77, SR-NASD-2002-80, SR-NASD-2002-138, SR-NASD-2002-139, and SR-NASD-2002-141
Comments received for SR-NYSE-2002-33 are available for this notice.

Comments received for SR-NASD-2002-77 are available for this notice.

Comments received for SR-NASD-2002-80 are available for this notice.

Comments received for SR-NASD-2002-138 are available for this notice.

Comments received for SR-NASD-2002-139 are available for this notice.

Comments received for SR-NASD-2002-141 are available for this notice.

SR-NASD-2002-108
34-49537 Apr. 7, 2004 Order Approving Proposed Rule Changes Relating to Business Continuity Planning of Members and Notice of Filing and Order Granting Accelerated Approval of NASD Amendment Nos. 6, 7, and 8
File No.:
  SR-NYSE-2002-35
34-48503 Sep. 17, 2003 Notice of Filing of Amendment Nos. 4 and 5 to a Proposed Rule Change Relating to Business Continuity Plans and Emergency Contact Information
34-46444 Aug. 30, 2002 Notice of Filing of Proposed Rule Change Relating to Business Continuity Plans and Emergency Contact Information
Comments received are available for this notice.

SR-NASD-2002-97
34-46249 Jul. 24, 2002 Notice of Filing and Order Granting Accelerated Approval on a Pilot Basis to a Proposed Rule Change Relating to the Operation of the Alternative Display Facility for Quoting and Trading in Securities of The Nasdaq Stock Market, Inc.
Comments received are available for this notice.

SR-NASD-2002-80
34-48745 Nov. 4, 2003 Order Approving Proposed Rule Changes (SR-NYSE-2002-33 and SR-NASD-2002-141) and Amendments No. 1 thereto; Order Approving Proposed Rule Changes (SR-NASD-2002-77, SR-NASD-2002-80, SR-NASD-2002-138 and SR-NASD-2002-139) and Amendments No. 1 to SR-NASD-2002-80 and SR-NASD-2002-139; and Notice of Filing and Order Granting Accelerated Approval of Amendment Nos. 2 and 3 to SR-NYSE-2002-33, Amendment Nos. 2, 3, 4 and 5 to SR-NASD-2002-141, Amendment Nos. 2 and 3 to SR-NASD-2002-80, Amendment Nos. 1, 2, and 3 to SR-NASD-2002-138, and Amendment No. 2 to SR-NASD-2002-139, Relating to Corporate Governance
File Nos.:
  SR-NYSE-2002-33, SR-NASD-2002-77, SR-NASD-2002-80, SR-NASD-2002-138, SR-NASD-2002-139, and SR-NASD-2002-141
Comments received for SR-NYSE-2002-33 are available for this notice.

Comments received for SR-NASD-2002-77 are available for this notice.

Comments received for SR-NASD-2002-80 are available for this notice.

Comments received for SR-NASD-2002-138 are available for this notice.

Comments received for SR-NASD-2002-139 are available for this notice.

Comments received for SR-NASD-2002-141 are available for this notice.

SR-NASD-2002-77
34-48745 Nov. 4, 2003 Order Approving Proposed Rule Changes (SR-NYSE-2002-33 and SR-NASD-2002-141) and Amendments No. 1 thereto; Order Approving Proposed Rule Changes (SR-NASD-2002-77, SR-NASD-2002-80, SR-NASD-2002-138 and SR-NASD-2002-139) and Amendments No. 1 to SR-NASD-2002-80 and SR-NASD-2002-139; and Notice of Filing and Order Granting Accelerated Approval of Amendment Nos. 2 and 3 to SR-NYSE-2002-33, Amendment Nos. 2, 3, 4 and 5 to SR-NASD-2002-141, Amendment Nos. 2 and 3 to SR-NASD-2002-80, Amendment Nos. 1, 2, and 3 to SR-NASD-2002-138, and Amendment No. 2 to SR-NASD-2002-139, Relating to Corporate Governance
File Nos.:
  SR-NYSE-2002-33, SR-NASD-2002-77, SR-NASD-2002-80, SR-NASD-2002-138, SR-NASD-2002-139, and SR-NASD-2002-141
Comments received for SR-NYSE-2002-33 are available for this notice.

Comments received for SR-NASD-2002-77 are available for this notice.

Comments received for SR-NASD-2002-80 are available for this notice.

Comments received for SR-NASD-2002-138 are available for this notice.

Comments received for SR-NASD-2002-139 are available for this notice.

Comments received for SR-NASD-2002-141 are available for this notice.

SR-NASD-2002-68
34-46159 Jul. 2, 2002 Order of Summary Abrogation
File Nos.:  SR-NASD-2002-61, SR-NASD-2002-68, SR-CSE-2002-06, and SR-PCX-2002-37

SR-NASD-2002-61
34-46159 Jul. 2, 2002 Order of Summary Abrogation
File Nos.:  SR-NASD-2002-61, SR-NASD-2002-68, SR-CSE-2002-06, and SR-PCX-2002-37

SR-NASD-2002-28
34-45501 Mar. 4, 2002 Notice of Filing of Proposed Rule Change Relating to Fees Applicable to the NASD Alternative Display Facility
Comments received are available for this notice.

SR-NASD-2002-24
34-45798 Apr. 22, 2002 Order Approving Proposed Rule Changes Relating to Anti-Money Laundering Compliance Programs
File Nos.:  SR-NASD-2002-24 and SR-NYSE-2002-10

SR-NASD-2002-21
34-45908 May 10, 2002 Order Approving Proposed Rule Changes by the National Association of Securities Dealers, Inc. and the New York Stock Exchange, Inc. and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 2 to the Proposed Rule Change and Amendment No. 1 to the Proposed Rule Change by the New York Stock Exchange, Inc. Relating to Research Analyst Conflicts of Interest
File Nos.:  SR-NYSE-2002-09
34-45679 Apr. 2, 2002 Notice of Extension of the Comment Period for the Proposed Rule Changes by the National Association of Securities Dealers, Inc. and the New York Stock Exchange, Inc. Relating to Research Analyst Conflicts of Interest
File Nos.:  SR-NYSE-2002-09
34-45526 Mar. 8, 2002 Notice of Filing of Proposed Rule Changes by the National Association of Securities Dealers, Inc. and the New York Stock Exchange, Inc. Relating to Research Analyst Conflicts of Interest
File Nos.:  SR-NYSE-2002-09
Comments received are available for this notice.

SR-NASD-2002-05
34-45531 Mar. 11, 2002 Order Granting Approval to Proposed Rule Change Relating to Revisions to Form U-4 and Form U-5

 

http://www.sec.gov/rules/sro/nasd/nasdarchive/nasdarchive2002.shtml


Modified: 10/16/2014