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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


Chronological List
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.

 Click to submit comments on SR-NASD-2003-183

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
File Nos.:
  SR-NYSE-2002-49
See also:  Notice: Rel. No. 34-47912; Notice: Rel. No. 34-47110
Additional Materials:

NYSE Amendment No. 3 (includes response to comments)
NASD Amendment No. 3
NASD 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.
* Click to submit comments on SR-NASD-2003-183

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


Modified: 12/08/2010