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NASD Rulemaking Archive: 2003
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 2003
Additional Archives
2012 |2010 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996
Release No. |
Date |
Details |
SR-NASD-2003-176 |
34-48981 |
Dec. 23, 2003 |
Notice of Filing of Proposed Rule Change Relating to Chief Executive Officer and Chief Compliance Officer Certification
See also:
Order: Rel. No. 34-50347;
Notice: Rel. No. 34-50105;
Notice: Rel. No. 34-49129
Comments received
are available
for this notice. |
SR-NASD-2003-183 |
34-48986 |
Dec. 23, 2003 |
Notice of Filing of Proposed Rule Change Relating to Proposed Amendments to Rule 1120 Regarding Regulatory Element Contact Person
Comments received
are available
for this notice.
|
SR-NASD-2002-168 |
34-48933 |
Dec. 16, 2003 |
Order Granting Approval of Proposed Rule Change and Amendment No. 1, Thereto, and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2, Thereto, Relating to Proposed NASD Rule 2130 Concerning the Expungement of Customer Dispute Information From the Central Registration Depository System
See also:
Notice: Rel. No. 34-47435
|
SR-NASD-2003-182 |
34-48926 |
Dec. 15, 2003 |
Notice of Filing of Proposed Rule Change Relating to Proposed Amendments to "TRACE-Eligible Security" and an Exemption to Trade Reporting
See also:
Order: Rel. No. 34-49522
Comments received
are available
for this notice. |
SR-NASD-2003-104 |
34-48897 |
Dec. 9, 2003 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 thereto Relating to Proposed New Uniform Definition of "Branch Office" under NASD Rule 3010(g)(2)
See also:
Order: Rel. No. 34-52403
Comments received
are available
for this notice. |
SR-NASD-2003-173 |
34-48878 |
Dec. 4, 2003 |
Notice of Filing of Proposed Rule Change Relating to the Nasdaq Closing Cross
See also:
Order: Rel. No. 34-49406
Comments received
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-2003-157 |
34-48714 |
Oct. 29, 2003 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Relating to Permanent Fee Structure for the Trade Reporting and Compliance Engine (TRACE)
See also:
Order: Rel. No. 34-49086
Comments received
are available
for this notice. |
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
See also: Notices: Rel. Nos.
34-42325,
34-43267
|
SR-NASD-2003-143 |
34-48675 |
Oct. 21, 2003 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto To Establish a New "Auto-Ex" Order in Nasdaq's SuperMontage System
See also:
Order: Rel. No. 34-49020
Comments received
are available
for this notice. |
SR-NASD-2003-130 |
34-48627 |
Oct. 14, 2003 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Amendments to its Recently Adopted Rules Regarding Shareholder Approval for Stock Option or Purchase Plans or Other Equity Compensation Arrangements |
SR-NASD-2003-85 |
34-48527 |
Sep. 23, 2003 |
Order Approving Proposed Rule Change and Amendments No. 1 and 2 Thereto, and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 3, 4, 5, and 7 Thereto Relating to a Post-Trade Anonymity Feature in SuperMontage
See also:
Notice: Rel. No. 34-48088
|
SR-NASD-2002-108 |
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
See also:
Order: Rel. No. 34-49537;
Notice: Rel. No. 34-46466
|
SR-NASD-2003-138 |
34-48488 |
Sep. 12, 2003 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Changes to the Territorial Boundaries of Certain NASD District Offices
|
SR-NASD-2002-162 |
34-48460 |
Sep. 8, 2003 |
Notice of Extension of Comment Period for the Amendments to Proposed Rule Changes by the National Association of Securities Dealers, Inc. and New York Stock Exchange, Inc. Relating to Supervisory Control Amendments
File Nos.: SR-NASD-2002-162; SR-NYSE-2002-36
See also:
Order: Rel. No. 34-49883;
Notice: Rel. No. 34-48298;
Notice: Rel. No. 34-47021;
Notice: Rel. No. 34-46859
|
SR-NASD-2003-98 |
34-48442 |
Sep. 4, 2003 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Clarify Reporting Requirements for Transactions Conducted Through Electronic Communications Networks
See also:
Notice: Rel. No. 34-48239
Comments received
are available
for this notice. |
SR-NASD-2003-81 |
34-48434 |
Sep. 3, 2003 |
Order Granting Approval of Proposed Rule Change and Amendment No. 1 thereto Relating to Quote Decrementation in SuperMontage
See also:
Notice: Rel. No. 34-47993 |
SR-NASD-2003-92 |
34-48242 |
Aug. 29, 2003 |
Order Granting Approval To a Proposed Rule Change To Adopt NASD Rule 2370 To Govern Certain Lending Arrangements Between Registered Persons and Customers
See also:
Notice: Rel. No. 34-48093
|
SR-NASD-2003-131 |
34-48390 |
Aug. 21, 2003 |
Notice of Filing of Proposed Rule Change Relating to Proposed Amendments to NASD's Telemarketing Rules to Require Members to Participate in the National Do-Not-Call Registry
Comments received
are available
for this notice. |
SR-NASD-2003-126 |
34-48353 |
Aug. 15, 2003 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for Rules Relating to Bond Fund Volatility Ratings |
SR-NASD-2003-95 |
34-48347 |
Aug. 14, 2003 |
Notice of Filing of Proposed Rule Change Relating to Arbitrator Classification and Disclosure in NASD Arbitration
See also:
Order: Rel. No. 34-49573
Comments received
are available
for this notice. |
SR-NASD-2003-120 |
34-48303 |
Aug. 8, 2003 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Revenue Sharing Program
Comments received
are available
for this notice. |
SR-NASD-2003-99 |
34-48305 |
Aug. 8, 2003 |
Order Granting Approval of Proposed Rule Change to Amend Rule 6260 Regarding New Issue Notification Procedures for TRACE-Eligible Securities |
SR-NASD-2002-162 |
34-48298 |
Aug. 7, 2003 |
Notice of Filing of Amendment Nos. 1 and 2 to Proposed Rule Change Relating to Supervisory Control Amendments
See also:
Order: Rel. No. 34-49883;
Notice: Rel. No. 34-48460;
Notice: Rel. No. 34-47021;
Notice: Rel. No. 34-46859
|
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
Other File No.: SR-NYSE-2002-49
See also:
Notice: Rel. No. 34-47912;
Notice: Rel. No. 34-47110
Additional Materials:
NASD Amendments and Response to Comments |
SR-NASD-2003-98 |
34-48239 |
Jul. 28, 2003 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by National Association of Securities Dealers, Inc., Through Its Subsidiary, The Nasdaq Stock Market, Inc., Regarding Reporting of Transactions Conducted through Electronic Communications Networks to the Automated Confirmation Transaction Service
See also:
Order: Rel. No. 34-48442
|
SR-NASD-2003-93 |
34-48234 |
Jul. 28, 2003 |
Order Granting Approval of Proposed Rule Change to Increase the Trading Activity Fee
|
SR-NASD-2003-101 |
34-48225 |
Jul. 25, 2003 |
Notice of Filing of Proposed Rule Change Relating to Time Limits for Submission of Claims in Arbitration
See also:
Order: Rel. No. 34-50714
Comments received
are available
for this notice. |
SR-NASD-2003-57 |
34-48161A |
Jul. 16, 2003 |
Order Granting Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto, and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 to the Proposed Rule Change Relating to Revisions to the Uniform Application for Securities Industry Registration or Transfer (Form U-4) and Uniform Termination Notice for Securities Industry Registration (Form U-5)
See also:
Order: Rel. No. 34-48161;
Notice: Rel. No. 34-47936
|
SR-NASD-2003-57 |
34-48161 |
Jul. 10, 2003 |
Order Granting Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto, and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 to the Proposed Rule Change Relating to Revisions to the Uniform Application for Securities Industry Registration or Transfer (Form U-4) and Uniform Termination Notice for Securities Industry Registration (Form U-5)
See also:
Order: Rel. No. 34-48161A;
Notice: Rel. No. 34-47936
|
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
See also:
Notice: Rel. No. 34-46649
|
SR-NASD-2003-92 |
34-48093 |
Jun. 26, 2003 |
Notice of Filing of Proposed Rule Change To Adopt NASD Rule 2370 To Govern Certain Lending Arrangements Between Registered Persons and Customers
See also:
Order: Rel. No. 34-48242
Comments received
are available
for this notice. |
SR-NASD-2003-85 |
34-48088 |
Jun. 25, 2003 |
Notice of Filing of Proposed Rule Change , and Amendments Nos. 1 and 2 Thereto Relating to a Post-Trade Anonymity Feature in SuperMontage
See also:
Order: Rel. No. 34-48527
Comments received
are available
for this notice. |
SR-NASD-2003-78 |
34-48056 |
Jun. 18, 2003 |
Order Granting Accelerated Approval To Proposed Rule Change To Amend Rule 6230 To Reduce TRACE Reporting Period
See also:
Notice: Rel. No. 34-47856
|
SR-NASD-2003-81 |
34-47993 |
Jun. 5, 2003 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Quote Decrementation in SuperMontage
See also:
Order: Rel. No. 34-48434
Comments received
are available
for this notice. |
SR-NASD-2003-57 |
34-47936 |
May 28, 2003 |
Notice of Filing of Proposed Rule Change, Amendment No. 1, and Amendment No. 2 Thereto Relating to Revisions to the Uniform Application for Securities Industry Registration or Transfer (Form U-4) and Uniform Termination Notice for Securities Industry Registration (Form U-5)
See also: Orders: Rel. Nos.
34-48161A;
34-48161
Comments received
are available
for this notice. |
SR-NASD-2002-154 |
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
See also:
Order: Rel. No. 34-48252;
Notice: Rel. No. 34-47110
|
SR-NASD-2003-78 |
34-47856 |
May 14, 2003 |
Notice of Filing of Proposed Rule Change To Amend Rule 6230 To Reduce TRACE Reporting Period
See also:
Order: Rel. No. 34-48056
Comments received
are available
for this notice. |
SR-NASD-2003-50 |
34-47693 |
Apr. 17, 2003 |
Notice of Filing of Proposed Rule Change To Modify Fees for Computer-to-Computer Interface Lines Used by NASD Members and Non-Members To Provide Service Bureau Functionality
Comments received
are available
for this notice. |
SR-NASD-2003-73 |
34-47685 |
Apr. 16, 2003 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Regulatory Fee and the Trading Activity Fee
Comments received
are available
for this notice. |
SR-NASD-2003-58 |
34-47645 |
Apr. 8, 2003 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Eliminating Certain Eligibility Requirements for Participating in the Primex Auction System as a Primex Auction System Market Maker
Comments received
are available
for this notice. |
SR-NASD-2003-63 |
34-47635 |
Apr. 4, 2003 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Modify the Transaction Credit Program for Exchange-Listed Securities
Comments received
are available
for this notice. |
SR-NASD-2003-56 |
34-47621 |
Apr. 2, 2003 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Regarding Fees for the Reporting of SuperMontage Transactions Through the Automated Confirmation Transaction Service
Comments received
are available
for this notice. |
SR-NASD-2003-37 |
34-47588 |
Mar. 28, 2003 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 thereto to Permanently Expand Order Entry Firm Access to SIZE in Nasdaq's SuperMontage System
Comments received
are available
for this notice. |
SR-NASD-2003-13 |
34-47590 |
Mar. 28, 2003 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Relating to Proposed Interpretive Material Regarding the Use of Investment Analysis Tools
See also:
Order: Rel. No. 34-50463
Comments received
are available
for this notice. |
SR-NASD-2003-03 |
34-47592 |
Mar. 28, 2003 |
Order Granting Approval of Proposed Rule Change To Waive Fees Assessed Under NASD Rule 7010(s) for New Subscribers to Nasdaq PostData
See also:
Notice: Rel. No. 34-47209
|
SR-NASD-2002-141 |
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
See also:
Order: Rel. No. 34-48745
Comments received
are available
for this notice. |
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-2003-09 |
34-47331 |
Feb. 10, 2003 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees Applicable to the NASD Alternative Display Facility
Comments received
are available
for this notice. |
SR-NASD-2003-03 |
34-47209 |
Jan. 17, 2003 |
Notice of Filing of Proposed Rule Change To Waive Fees Assessed Under NASD Rule 7010(s) for New Subscribers to Nasdaq PostData
See also:
Order: Rel. No. 34-47592
Comments received
are available
for this notice. |
SR-NASD-2003-02 |
34-47210 |
Jan. 17, 2003 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for Nasdaq PostData and the Fees Assessed Under NASD Rule 7010(s)
Comments received
are available
for this notice. |
NASD File Number List for 2003 |
Release No. |
Date |
Details |
SR-NASD-2003-201 |
34-50485 |
Oct. 1, 2004 |
Order Granting Approval of Proposed Rule Change, and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 to the Proposed Rule Change, to Amend Schedule A of the NASD By-Laws to Adjust the Trading Activity Fee Rate, and to Add TRACE-Eligible and Municipal Securities as Covered Securities
|
34-49114 |
Jan. 22, 2004 |
Notice of Filing of Proposed Rule Change to Amend the Trading Activity Fee Rate and Add TRACE-Eligible and Municipal Securities as Covered Securities
Comments due: 21 days after publication in the Federal Register
Comments received
are available
for this notice.
|
SR-NASD-2003-183 |
34-48986 |
Dec. 23, 2003 |
Notice of Filing of Proposed Rule Change Relating to Proposed Amendments to Rule 1120 Regarding Regulatory Element Contact Person
Comments received
are available
for this notice.
|
SR-NASD-2003-182 |
34-49522 |
Apr. 2, 2004 |
Order Granting Approval of Proposed Rule Change Relating to Proposed Amendments to "TRACE-Eligible Security" and an Exemption to Trade Reporting
|
34-48926 |
Dec. 15, 2003 |
Notice of Filing of Proposed Rule Change Relating to Proposed Amendments to "TRACE-Eligible Security" and an Exemption to Trade Reporting
Comments received
are available
for this notice.
|
SR-NASD-2003-176 |
34-50347 |
Sept 10, 2004 |
Order Approving Proposed Rule Change and Amendments Nos. 1 and 2 Relating to Chief Executive Officer Certification and Designation of Chief Compliance Officer
|
34-50105 |
Jul. 28, 2004 |
Notice of Filing of Amendment No. 2 to a Proposed Rule Change Relating to Chief Executive Officer Certification and Designation of Chief Compliance Officer
Comments due: August 24, 2004
|
34-49129 |
Jan. 27, 2004 |
Notice of Designation of Longer Period for Commission Action and Extension of Comment Period on a Proposed Rule Change Relating to Chief Executive Officer and Chief Compliance Officer Certification
Comments due: 21 days after publication in the Federal Register
|
34-48981 |
Dec. 23, 2003 |
Notice of Filing of Proposed Rule Change Relating to Chief Executive Officer and Chief Compliance Officer Certification
Comments received
are available
for this notice. |
SR-NASD-2003-173 |
34-49406 |
Mar. 11, 2004 |
Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Through Its subsidiary, The Nasdaq Stock Market, Inc., Relating to the Nasdaq Closing Cross
|
34-48878 |
Dec. 4, 2003 |
Notice of Filing of Proposed Rule Change Relating to the Nasdaq Closing Cross
Comments received
are available
for this notice.
|
SR-NASD-2003-168 |
34-55127 |
Jan. 18, 2007 |
Notice of Filing of Amendment No. 6 and Order Granting Accelerated Approval to Proposed Rule Change Relating to the Release of Information Through NASD’s BrokerCheck
Comments due: February 15, 2007
|
34-54053 |
Jun. 27, 2006 |
Notice of Filing of Amendment Nos. 4 and 5 to the Proposed Rule Change Relating to the Release of Information Through NASD BrokerCheck
Comments due: July 20, 2006
Comments received
are available
for this notice.
|
34-51915 |
Jun. 23, 2005 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, and 3 thereto Relating to the Release of Information Through the Public Disclosure Program
Comments due: July 21, 2005
Comments received
are available
for this notice.
|
SR-NASD-2003-164 |
34-49716 |
May 17, 2004 |
Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Relating to the Adjournment of an Arbitration Hearing Within Three Business Days of the First Scheduled Hearing Session
|
34-49545 |
Apr. 8, 2004 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Relating to the Adjournment of a Hearing within Three Business Days of the First Scheduled Hearing Session
|
SR-NASD-2003-163 |
34-49950 |
Jun. 30, 2004 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 2 Thereto Relating to Voluntary Direct Communication Between Parties and Arbitrators
|
34-49688 |
May 12, 2004 |
Notice of Filing of Proposed Rule Change Relating to Voluntary Direct Communications Between Parties and Arbitrators
Comments due: 21 days after publication in the Federal Register
Comments received
are available
for this notice. |
SR-NASD-2003-159 |
34-49581 |
Apr. 19, 2004 |
Order Granting Approval of Proposed Rule Change and Amendment No. 1 to Permit Nasdaq to Append a New Modifier to Trade Reports of Pre-Open and After-Hours Trades Not Submitted to Nasdaq's Autoted Confirmation Transaction Service, and Other Changes Regarding Trade Reporting |
SR-NASD-2003-158 |
34-55158 |
Jan. 24, 2007 |
Order Approving Proposed Rule Change and Amendments 1, 2, 3, and 4 to Amend NASD Arbitration Rules for Customer Disputes and Notice of Filing and Order Granting Accelerated Approval of Amendments 5, 6, and 7 thereto; Order Approving Proposed Rule Change and Amendments 1, 2, 3, and 4 to Amend NASD Arbitration Rules for Industry Disputes and Notice of Filing and Order Granting Accelerated Approval of Amendments 5, 6, and 7 thereto
Comments due: February 21, 2007
|
34-51856 |
Jun. 15, 2005 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, 3, and 4 Thereto to Amend NASD Arbitration Rules for Customer Disputes
Comments due: July 14, 2005
Comments received
are available
for this notice.
|
SR-NASD-2003-157 |
34-49086 |
Jan. 15, 2004 |
Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto, and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 2 Thereto Relating to the Permanent Fee Structure for the Trade Reporting and Compliance Engine (TRACE)
|
34-48714 |
Oct. 29, 2003 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Relating to Permanent Fee Structure for the Trade Reporting and Compliance Engine (TRACE)
Comments received
are available
for this notice.
|
SR-NASD-2003-143 |
34-49020 |
Jan. 5, 2004 |
Order Granting Approval to a Proposed Rule Change and Amendments Nos. 1, 2, and 3 Thereto to Establish a New "Auto-Ex" Order in Nasdaq's SuperMontage System
|
34-48675 |
Oct. 21, 2003 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto To Establish a New "Auto-Ex" Order in Nasdaq's SuperMontage System
Comments received
are available
for this notice.
|
SR-NASD-2003-141 |
34-55638 |
Apr. 16, 2007 |
Order Granting Approval to Proposed Rule Change Relating to Additional Mark-Up Policy for Transactions in Debt Securities, Except Municipal Securities
See also: Notices: Rel. Nos.
34-54799,
34-51338
Comments received
are available
for this notice.
|
34-54799 |
Nov. 21, 2006 |
Notice of Filing of Amendment Nos. 3, 4, and 5 to a Proposed Rule Change Relating to Additional Mark-Up Policy for Transactions in Debt Securities, Except Municipal Securities
Comments due: December 19, 2006
Comments received
are available
for this notice.
|
34-51338 |
Mar. 9, 2005 |
Notice of Filing of Proposed Rule Change to Adopt an Additional Mark-Up Policy for Transactions in Debt Securities Except Municipal Securities
Comments due: April 5, 2005
See also:
Order: Rel. No. 34-55638,
Notice: Rel. No.
34-54799
Comments received
are available
for this notice.
|
SR-NASD-2003-140 |
34-63010 |
Sep. 29, 2010 |
Notice of Filing of Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 through 4, Relating to the Prohibition of Certain Abuses in the Allocation and Distribution of Shares in Initial Public Offerings
Comments due: October 26, 2010
|
34-61690 |
Mar. 11, 2010 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 3, Relating to the Prohibition of Certain Abuses in the Allocation and Distribution of Shares in Initial Public Offerings ("IPOs")
Comments due: April 8, 2010
Comments received
are available
for this notice.
|
34-51039 |
Jan. 14, 2005 |
Notice of Extension of the Comment Period of Proposed Rule Changes Relating to the Prohibition of Certain Abuses in the Allocation and Distribution of Shares in Initial Public Offerings
Comments due: February 15, 2005
Additional File Nos.: SR-NYSE-2004-12
Comments received
are available
for this notice.
|
34-50896 |
Dec. 20, 2004 |
Notice of Filing of Proposed Rule Changes Relating to the Prohibition of Certain Abuses in the Allocation and Distribution of Shares in Initial Public Offerings ("IPOs")
Comments due: January 18, 2005
Additional File Nos.: SR-NYSE-2004-12
Comments received
are available
for this notice.
|
SR-NASD-2003-138 |
34-48488 |
Sep. 12, 2003 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Changes to the Territorial Boundaries of Certain NASD District Offices
|
SR-NASD-2003-131 |
34-48390 |
Aug. 21, 2003 |
Notice of Filing of Proposed Rule Change Relating to Proposed Amendments to NASD's Telemarketing Rules to Require Members to Participate in the National Do-Not-Call Registry
Comments received
are available
for this notice.
|
SR-NASD-2003-130 |
34-48627 |
Oct. 14, 2003 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Amendments to its Recently Adopted Rules Regarding Shareholder Approval for Stock Option or Purchase Plans or Other Equity Compensation Arrangements |
SR-NASD-2003-128 |
34-49220 |
Feb. 11, 2004 |
Order Approving Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto Relating to the Establishment of a Maximum ECN Access Fee in SuperMontage and the Elimination of SuperMontage's Price/Time with Fee Consideration and Price/Size Execution Algorithms
Comments received
are available
for this notice.
|
SR-NASD-2003-126 |
34-48353 |
Aug. 15, 2003 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for Rules Relating to Bond Fund Volatility Ratings |
SR-NASD-2003-120 |
34-48303 |
Aug. 8, 2003 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Revenue Sharing Program
Comments received
are available
for this notice.
|
SR-NASD-2003-104 |
34-52403 |
Sep. 9, 2005 |
Order Approving Proposed Rule Change and Amendment Nos. 1, 2, 3, 4, 5 and 6 thereto Relating to Proposed Uniform Definition of "Branch Office" under NASD Rule 3010(g)(2)
|
34-48897 |
Dec. 9, 2003 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 thereto Relating to Proposed New Uniform Definition of "Branch Office" under NASD Rule 3010(g)(2)
Comments received
are available
for this notice.
|
SR-NASD-2003-101 |
34-50714 |
Nov. 22, 2004 |
Order Granting Approval to Proposed Rule Change, and Notice of Filing and Order Granting Accelerated Approval to Amendments No. 1 and 2 Thereto Relating to Time Limits for Submission of Claims in Arbitration
|
34-48225 |
Jul. 25, 2003 |
Notice of Filing of Proposed Rule Change Relating to Time Limits for Submission of Claims in Arbitration
Comments received
are available
for this notice.
|
SR-NASD-2003-99 |
34-48305 |
Aug. 8, 2003 |
Order Granting Approval of Proposed Rule Change to Amend Rule 6260 Regarding New Issue Notification Procedures for TRACE-Eligible Securities |
SR-NASD-2003-98 |
34-48442 |
Sep. 4, 2003 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Clarify Reporting Requirements for Transactions Conducted Through Electronic Communications Networks
Comments received
are available
for this notice.
|
34-48239 |
Jul. 28, 2003 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto , Through Its Subsidiary, The Nasdaq Stock Market, Inc., Regarding Reporting of Transactions Conducted through Electronic Communications Networks to the Automated Confirmation Transaction Service |
SR-NASD-2003-95 |
34-49573 |
Apr. 16, 2004 |
Order Granting Approval to a Proposed Rule Change Relating to Arbitrator Classification and Disclosure in NASD Arbitrations
|
34-48347 |
Aug. 14, 2003 |
Notice of Filing of Proposed Rule Change Relating to Arbitrator Classification and Disclosure in NASD Arbitration
Comments received
are available
for this notice.
|
SR-NASD-2003-93 |
34-48234 |
Jul. 28, 2003 |
Order Granting Approval of Proposed Rule Change to Increase the Trading Activity Fee
|
SR-NASD-2003-92 |
34-48242 |
Aug. 29, 2003 |
Order Granting Approval To a Proposed Rule Change To Adopt NASD Rule 2370 To Govern Certain Lending Arrangements Between Registered Persons and Customers
|
34-48093 |
Jun. 26, 2003 |
Notice of Filing of Proposed Rule Change To Adopt NASD Rule 2370 To Govern Certain Lending Arrangements Between Registered Persons and Customers
Comments received
are available
for this notice.
|
SR-NASD-2003-85 |
34-48527 |
Sep. 23, 2003 |
Order Approving Proposed Rule Change and Amendments No. 1 and 2 Thereto, and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 3, 4, 5, and 7 Thereto Relating to a Post-Trade Anonymity Feature in SuperMontage
|
34-48088 |
Jun. 25, 2003 |
Notice of Filing of Proposed Rule Change , and Amendments Nos. 1 and 2 Thereto Relating to a Post-Trade Anonymity Feature in SuperMontage
Comments received
are available
for this notice.
|
SR-NASD-2003-81 |
34-48434 |
Sep. 3, 2003 |
Order Granting Approval of Proposed Rule Change and
Amendment No. 1 thereto Relating to Quote Decrementation in SuperMontage |
34-47993 |
Jun. 5, 2003 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Quote Decrementation in SuperMontage
Comments received
are available
for this notice.
|
SR-NASD-2003-78 |
34-48056 |
Jun. 18, 2003 |
Order Granting Accelerated Approval To Proposed Rule Change To Amend Rule 6230 To Reduce TRACE Reporting Period
|
34-47856 |
May 14, 2003 |
Notice of Filing of Proposed Rule Change To Amend Rule 6230 To Reduce TRACE Reporting Period
Comments received
are available
for this notice.
|
SR-NASD-2003-73 |
34-47685 |
Apr. 16, 2003 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Regulatory Fee and the Trading Activity Fee
Comments received
are available
for this notice.
|
SR-NASD-2003-69 |
34-49845 |
Jun. 10, 2004 |
Order Approving Proposed Rule Change Regarding Failure to Pay Arbitration Awards
|
34-49636 |
Apr. 30, 2004 |
Notice of Filing of Proposed Rule Change Regarding Failure to Pay Arbitration Awards
Comments due: May 28, 2004
Comments received
are available
for this notice.
|
SR-NASD-2003-63 |
34-47635 |
Apr. 4, 2003 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Modify the Transaction Credit Program for Exchange-Listed Securities
Comments received
are available
for this notice.
|
SR-NASD-2003-58 |
34-47645 |
Apr. 8, 2003 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Eliminating Certain Eligibility Requirements for Participating in the Primex Auction System as a Primex Auction System Market Maker
Comments received
are available
for this notice.
|
SR-NASD-2003-57 |
34-48161A |
Jul. 16, 2003 |
Order Granting Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto, and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 to the Proposed Rule Change Relating to Revisions to the Uniform Application for Securities Industry Registration or Transfer (Form U-4) and Uniform Termination Notice for Securities Industry Registration (Form U-5)
|
34-48161 |
Jul. 10, 2003 |
Order Granting Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto, and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 to the Proposed Rule Change Relating to Revisions to the Uniform Application for Securities Industry Registration or Transfer (Form U-4) and Uniform Termination Notice for Securities Industry Registration (Form U-5)
|
34-47936 |
May 28, 2003 |
Notice of Filing of Proposed Rule Change, Amendment No. 1, and Amendment No. 2 Thereto Relating to Revisions to the Uniform Application for Securities Industry Registration or Transfer (Form U-4) and Uniform Termination Notice for Securities Industry Registration (Form U-5)
Comments received
are available
for this notice.
|
SR-NASD-2003-56 |
34-47621 |
Apr. 2, 2003 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Regarding Fees for the Reporting of SuperMontage Transactions Through the Automated Confirmation Transaction Service
Comments received
are available
for this notice.
|
SR-NASD-2003-50 |
34-47693 |
Apr. 17, 2003 |
Notice of Filing of Proposed Rule Change To Modify Fees for Computer-to-Computer Interface Lines Used by NASD Members and Non-Members To Provide Service Bureau Functionality
Comments received
are available
for this notice.
|
SR-NASD-2003-37 |
34-47588 |
Mar. 28, 2003 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 thereto to Permanently Expand Order Entry Firm Access to SIZE in Nasdaq's SuperMontage System
Comments received
are available
for this notice.
|
SR-NASD-2003-13 |
34-50463 |
Sep. 28, 2004 |
Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval of Amendment Nos. 2 and 3 to Adopt New Interpretive Material to NASD Rule 2210(d)(2)(N) to Allow NASD Member Firms to Use Certain Investment Analysis Tools
|
34-47590 |
Mar. 28, 2003 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Relating to Proposed Interpretive Material Regarding the Use of Investment Analysis Tools
Comments received
are available
for this notice.
|
SR-NASD-2003-09 |
34-47331 |
Feb. 10, 2003 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees Applicable to the NASD Alternative Display Facility
Comments received
are available
for this notice.
|
SR-NASD-2003-03 |
34-47592 |
Mar. 28, 2003 |
Order Granting Approval of Proposed Rule Change To Waive Fees Assessed Under NASD Rule 7010(s) for New Subscribers to Nasdaq PostData
|
34-47209 |
Jan. 17, 2003 |
Notice of Filing of Proposed Rule Change To Waive Fees Assessed Under NASD Rule 7010(s) for New Subscribers to Nasdaq PostData
Comments received
are available
for this notice.
|
SR-NASD-2003-02 |
34-47210 |
Jan. 17, 2003 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for Nasdaq PostData and the Fees Assessed Under NASD Rule 7010(s)
Comments received
are available
for this notice.
|
http://www.sec.gov/rules/sro/nasd/nasdarchive/nasdarchive2003.shtml
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