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NASD Rulemaking Archive: 2004
We encourage the public to submit comments on the following National Association of Securities Dealers, Inc. (NASD) 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 website.
Chronological List
Fourth Quarter | Third Quarter | Second Quarter | First Quarter
NASD File Number List for 2004
Additional Archives
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Release No. |
Date |
Details |
Fourth Quarter |
SR-NASD-2004-182 |
34-50930 |
Dec. 27, 2004 |
Notice of Filing of Proposed Rule Change Regarding Minor Modifications to the Nasdaq Opening Process For Nasdaq-Listed Stocks
Comments due: January 26, 2005
|
SR-NASD-2004-110 |
34-50926 |
Dec. 23, 2004 |
Order Approving a Proposed Rule Change, and Amendment Nos. 1, 2 and 3 Thereto Relating to Divestiture of Its Interest in the American Stock Exchange LLC
See also:
Notice: Rel. No. 34-50403A;
Notice: Rel. No. 34-50403
|
SR-NASD-2004-187 |
34-50922 |
Dec. 22, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of Short Sale Rule and Continued Suspension of Primary Market Maker Standards Set Forth in Rule 4612.
Comments due: January 19, 2005
|
SR-NASD-2004-188 |
34-50916 |
Dec. 22, 2004 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Listing and Trading of Performance Leveraged Upside Securities Based on the Value of the Index
Comments due: January 20, 2005
|
SR-NASD-2004-169 |
34-50897 |
Dec. 21, 2004 |
Notice of Filing of Proposed Rule Change to Adopt Additional Listing Standards Applicable to the Securities of The Nasdaq Stock Market, Inc. or an Affiliate
Comments due: January 19, 2005
See also:
Order: Rel. No. 34-51123
|
SR-NASD-2003-140 |
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
See also:
Notice/Order: Rel. No. 34-63010;
Notice: Rel. No. 34-61690;
Notice: Rel. No. 34-51039
Comments received
are available
for this notice.
|
SR-NASD-2004-176 |
34-50893 |
Dec. 20, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend an Existing Pilot Relating to Manning Price-Improvement Standards
Comments due: January 19, 2005
|
SR-NASD-2004-027 |
34-50883 |
Dec. 20, 2004 |
Order Approving Proposed Rule Change Relating to Investment Company Portfolio Transactions
See also:
Notice: Rel. No. 34-50611
|
SR-NASD-2004-166 |
34-50860 |
Dec. 15, 2004 |
Order Granting Approval of Proposed Rule Change Modifying Fee Schedule for Other Securities
See also:
Notice: Rel. No. 34-50629
|
SR-NASD-2004-150 |
34-50862 |
Dec. 15, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment 1 Thereto by the National Association of Securities Dealers, Inc. Relating to an Interpretation of Rule 3350
Comments due: January 11, 2005
|
SR-NASD-2004-133 |
34-50848 |
Dec. 14, 2004 |
Order Granting Approval of Proposed Rule Change to Amend NASD Rule 9522 ("Initiation of Eligibility Proceeding; Member Regulation Consideration") to give Member Regulation the Authority to Approve the MC-400 Applications of Statutorily Disqualified Persons Who Will Be Engaged Solely in Clerical and/or Ministerial Activities
See also:
Notice: Rel. No. 34-50626
|
SR-NASD-2004-181 |
34-50845 |
Dec. 13, 2004 |
Notice of Filing of Proposed Rule Change by National Association of Securities Dealers, Inc. Concerning Modifications to The Nasdaq Market Center Execution Service
Comments due: January 10, 2005
Comments received
are available
for this notice.
|
SR-NASD-2004-128 |
34-50838 |
Dec. 10, 2004 |
Order Granting Approval of Proposed Rule Change to Modify the Annual Fee for Certain Issuers Listed on The Nasdaq Stock Market, Inc.
See also:
Notice: Rel. No. 34-50577
Comments received
are available
for this notice.
|
SR-NASD-2004-168 |
34-50823 |
Dec. 8, 2004 |
Notice of Filing of and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Certificate of Designation for Preferred Stock of The Nasdaq Stock Market, Inc.
Comments due: January 5, 2005
|
SR-NASD-2004-175 |
34-50822 |
Dec. 8, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Repeal of Existing NASD Short Sale Rules in Light of SEC Regulation SHO
Comments due: January 4, 2005
Comments received
are available
for this notice.
|
SR-NASD-2004-170 |
34-50787 |
Dec. 2, 2004 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto to Establish Combined Nasdaq Market Center and Brut Pricing for Non-NASD Members
Comments due: December 30, 2004
|
SR-NASD-2004-022 |
34-50749 |
Nov. 29, 2004 |
Notice of Filing of Proposed Rule Change Relating to the Corporate Financing Rule and Shelf Offerings of Securities
Comments due: January 21, 2005
Comments received
are available
for this notice.
|
SR-NASD-2004-147 |
34-50753 |
Nov. 29, 2004 |
Order Granting Approval to Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 to Modify the Bid Price Compliance Periods on the Nasdaq National Market and SmallCap Market and to Require Non-Canadian Foreign Issuers to Satisfy the Bid Price and Market Value of Publicly Held Shares Requirements Applicable to Domestic Issuers for Continued Listing on the SmallCap Market
See also:
Notice: Rel. No. 34-50541
|
SR-NASD-2004-153 |
34-50748 |
Nov. 29, 2004 |
Order Approving Proposed Rule Change to Provide a Delta Hedge Exemption from Stock Option Position Limits for OTC Derivatives Dealers Affiliated with NASD Member Firms When Certain Conditions Are Satisfied
See also:
Notice: Rel. No. 34-50539
|
SR-NASD-2004-142 |
34-50741 |
Nov. 29, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Establish Fees for Companies with a Dual Listing on the New York Stock Exchange and Nasdaq
Comments due: December 27, 2004
See also:
Order: Rel. No. 34-51005
|
SR-NASD-2004-140 |
34-50740 |
Nov. 29, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Eliminate Entry and Application Fees for Exchange-Listed Issuers Transferring Listings to Nasdaq
Comments due: December 27, 2004
See also:
Order: Rel. No. 34-51004
|
SR-NASD-2004-132 |
34-50724 |
Nov. 23, 2004 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Listing and Trading of Accelerated Return Notes Linked to the Russell 2000 Index
Comments due: December 21, 2004
|
SR-NASD-98-74 |
34-50713 |
Nov. 22, 2004 |
Order Granting Approval to Proposed Rule Change as Amended and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 5 Regarding NASD Rule 3110(f) Governing Predispute Arbitration Agreements with Customers
See also:
Notice: Rel. No. 34-42160
|
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
See also:
Notice: Rel. No. 34-48225
|
SR-NASD-2004-157 |
34-50710 |
Nov. 19, 2004 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Listing and Trading of Performance Leveraged Upside Securities Linked to the Russell 2000 Index
Comments due: December 20, 2004
|
SR-NASD-2004-107 |
34-50683 |
Nov. 17, 2004 |
Order Approving Proposed Rule Change Relating to Computer Generated Quoting in Exchange-Listed Securities
See also:
Notice: Rel. No. 34-50478
|
SR-NASD-2004-156 |
34-50678 |
Nov. 16, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by National Association of Securities Dealers, Inc. Related to ECN Response Time Measurement in the Nasdaq Market Center
Comments due: December 14, 2004
|
SR-NASD-2004-167 |
34-50670 |
Nov. 16, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Establish Combined Nasdaq Market Center and Brut Pricing for NASD Members
Comments due: December 13, 2004
|
SR-NASD-2004-158 |
34-50647 |
Nov. 8, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. to Establish Fee for Direct ECN Connections to the Nasdaq Market Center
Comments due: December 6, 2004
|
SR-NASD-2004-172 |
34-50640 |
Nov. 5, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Pilot Modifications and Minor Modifications to the Nasdaq Opening Process For Nasdaq-Listed Stocks
Comments due: December 6, 2004
|
SR-NASD-2004-161 |
34-50636 |
Nov. 4, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Pilot Program Waiving Fees and Credits for Orders and Quotes Executed in the Nasdaq Opening Cross
Comments due: December 1, 2004
|
SR-NASD-2004-166 |
34-50629 |
Nov. 3, 2004 |
Notice of Filing of Proposed Rule Change Modifying the Other Securities Fee Schedule
Comments due: December 1, 2004
See also:
Order: Rel. No. 34-50860
|
SR-NASD-2004-133 |
34-50626 |
Nov. 3, 2004 |
Notice of Filing of Proposed Rule Change Relating to Proposed Amendments to NASD Rule 9522 ("Initiation of Eligibility Proceeding; Member Regulation Consideration")
Comments due: December 1, 2004
See also:
Order: Rel. No. 34-50848
|
SR-NASD-2004-163 |
34-50627 |
Nov. 3, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of Pilot for Bond Trade Dissemination Service (“BTDS”) Professional Delayed-Time Data Display Fee
Comments due: November 30, 2004
|
SR-NASD-2004-151 |
34-50621 |
Nov. 2, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Making Technical Modifications to the NASD Trade Reporting Rules
Comments due: November 30, 2004
|
SR-NASD-2004-027 |
34-50611 |
Oct. 29, 2004 |
Notice of Filing of Proposed Rule Change Relating to Investment Company Portfolio Transactions
Comments due: November 26, 2004
See also:
Order: Rel. No. 34-50883
Comments received
are available
for this notice.
|
SR-NASD-2004-074 |
34-50606 |
Oct. 29, 2004 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Clarify and Modify Market Maker Quote Re-Entry Obligations
See also:
Notice: Rel. No. 34-50372
|
SR-NASD-2004-155 |
34-50604 |
Oct. 28, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Access Fees for Non-NASD Members Using Nasdaq's Brut Facility
Comments due: November 29, 2004
|
SR-NASD-2004-152 |
34-50602 |
Oct. 28, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Minor Modifications to the Nasdaq Opening Process For Nasdaq-Listed Stocks
Comments due: November 26, 2004
|
SR-NASD-2004-160 |
34-50601 |
Oct. 28, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Operation of NASD’s Alternative Display Facility on a Pilot Basis
Comments due: November 26, 2004
|
SR-NASD-2004-128 |
34-50577 |
Oct. 21, 2004 |
Notice of Filing of Proposed Rule Change to Modify the Annual Fee for Certain Issuers Listed on The Nasdaq Stock Market, Inc.
Comments due: November 18, 2004
See also:
Order: Rel. No. 34-50838
Comments received
are available
for this notice.
|
SR-NASD-2004-146 |
34-50571 |
Oct. 20, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 to Permanently Adopt Fees for TotalView Product
Comments due: November 17, 2004
|
SR-NASD-2004-145 |
34-50575 |
Oct. 20, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 thereto Relating to Amendments to Section 4 of Schedule A to the NASD By-Laws (Fees for Qualification Examinations)
Comments due: November 17, 2004
|
SR-NASD-2004-105 |
34-50573 |
Oct. 20, 2004 |
Order Granting Approval to Proposed Rule Change, and Amendment No.1 Thereto to Amend Rule 4350(n) and IM-4350-7 to Provide Time Frames for Foreign Issuers and Foreign Private Issuers to Disclose Certain Code of Conduct Waivers
See also:
Notice: Rel. No. 34-50267
|
SR-NASD-2004-148 |
34-50558 |
Oct. 18, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to TRACE Rule 6250
Comments due: November 15, 2004
|
SR-NASD-2004-147 |
34-50541 |
Oct. 14, 2004 |
Notice of Filing of Proposed Rule Change to Bid Price Compliance Periods and Market Value of Publicly Held Shares Requirements
Comments due: November 12, 2004
See also:
Order: Rel. No. 34-50753
|
SR-NASD-2004-114 |
34-50545 |
Oct. 14, 2004 |
Order Approving Proposed Rule Change, as Amended, Relating to Fees for Depth of Book Data in Exchange-Listed Securities in the Nasdaq Market Center
See also:
Notice: Rel. No. 34-50304
|
SR-NASD-2004-153 |
34-50539 |
Oct. 14, 2004 |
Notice of Filing of Proposed Rule Change Relating to a Conditional Exemption from Stock Option Position Limits for OTC Derivatives Dealers
Comments due: November 12, 2004
See also:
Order: Rel. No. 34-50748 |
SR-NASD-2004-143 |
34-50537 |
Oct. 14, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, and Amendment No. 1 thereto, Relating to Attributable Summary Orders in the Nasdaq Market Center
Comments due: November 12, 2004
|
SR-NASD-2004-149 |
34-50502 |
Oct. 7, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Access Fees for Nasdaq’s Brut Facility
Comments due: November 5, 2004
|
SR-NASD-2004-138 |
34-50501 |
Oct. 7, 2004 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change, Relating to the Listing and Trading of Performance Leveraged Upside Securities Based on the Value of the Dow Jones Euro Stoxx 50 Index
Comments due: November 9, 2004
|
SR-NASD-2004-118 |
34-50483 |
Oct. 1, 2004 |
Order Granting Approval of Proposed Rule Change Relating to the Introduction of an Extranet Access fee for Extranet Providers to Provide Direct Access Services for Nasdaq Market Data Feeds
See also:
Notice: Rel. No. 34-50262
|
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
See also:
Notice: Rel. No. 34-49114
|
Third Quarter |
SR-NASD-2004-107 |
34-50478 |
Sep. 30, 2004 |
Notice of Filing of a Proposed Rule Change Relating to Computer Generated Quoting in Exchange-Listed Securities
Comments due: November 2, 2004
See also:
Order: Rel. No. 34-50683
|
SR-NASD-2004-116 |
34-50477 |
Sep. 30, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Extending the Operative Date for the Short-Sale ACT Reporting Requirements for Certain Securities
Comments due: 21 days after date of publication in the Federal Register |
SR-NASD-2004-110 |
34-50403A |
Sep. 29, 2004 |
Notice of Filing of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Divestiture of American Stock Exchange; Correction
Comments due: October 14, 2004
See also:
Notice: Rel. No. 34-50403A;
Notice: Rel. No. 34-50403
|
SR-NASD-2004-144 |
34-50468 |
Sep. 29, 2004 |
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to the Listing and Trading of Theravance, Inc. Common Stock
Comments due: 21 days after publication in the Federal Register |
SR-NASD-2004-109 |
34-50458 |
Sep. 28, 2004 |
Order Granting Approval of Proposed Rule Change to Increase the Initial Inclusion Requirements for Certain Foreign Securities Seeking to List on the Nasdaq SmallCap Market
See also:
Order: Rel. No. 34-50183
|
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
See also:
Notice: Rel. No. 34-47590
|
SR-NASD-2004-098 |
34-50456 |
Sep. 27, 2004 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to Proposed Amendments to Eliminate Exemptions from the Continuing Education Regulatory Element Requirements
See also:
Notice: Rel. No. 34-50204
|
SR-NASD-2004-121 |
34-50446 |
Sep. 24, 2004 |
Order Granting Approval of Proposed Rule Change and Amendment Nos. 1 and 2 to Include Failures to Timely Submit Amendments to Form U5 in Minor Rule Violation Plan
See also:
Notice: Rel. No. 34-50221
|
SR-NASD-2004-126 |
34-50447 |
Sep. 24, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Waiver of California Arbitrator Disclosure Standards
Comments due: 21 days after publication in the Federal Register |
SR-NASD-2004-134 |
34-50434 |
Sep. 23, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Multiple Market Participant Identifiers
Comments due: 21 days after publication in the Federal Register |
SR-NASD-2004-137 |
34-50409 |
Sep. 17, 2004 |
Notice of Filing and Order Accelerating Approving of Proposed Rule Change Amending OATS Rules to Require that ECNs Capture Routed Order Identifier Information
Comments due: October 14, 2004
|
SR-NASD-2004-110 |
34-50403 |
Sep. 16, 2004 |
Notice of Filing of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Divestiture of American Stock Exchange
Comments due: October 14, 2004
See also:
Order: Rel. No. 34-50926;
Notice: Rel. No. 34-50403A
|
SR-NASD-2004-071 |
34-50405 |
Sep. 16, 2004 |
Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Improved Nasdaq Opening Process
See also:
Notice: Rel. No. 34-49842
|
SR-NASD-2004-119 |
34-50406 |
Sep. 16, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Regarding Fees for Orders and Quotes Executed in the Nasdaq Closing Cross
Comments due: October 14, 2004
|
SR-NASD-2004-090 |
34-50391 |
Sep. 15, 2004 |
Order Approving Proposed Rule Change and Amendment No. 1 thereto Relating to the Nasdaq Closing Cross
See also:
Notice: Rel. No. 34-50087
|
SR-NASD-2004-074 |
34-50372 |
Sep. 14, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Clarify and Modify Market Maker Quote Re-Entry Obligations
Comments due: October 12, 2004
See also:
Order: Rel. No. 34-50606
|
SR-NASD-2003-176 |
34-50347 |
Sep. 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
See also: Notices: Rel. Nos.
34-50105;
34-49129;
34-48981
|
SR-NASD-2004-136 |
34-50335 |
Sep. 9, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Implementation Date of Notice to Members 04-50 (Treatment of Commodity Pool Trail Commissions Under Rule 2810)
Comments due: October 7, 2004
Comments received
are available
for this notice.
|
SR-NASD-2004-102 |
34-50325 |
Sep. 7 , 2004 |
Order Approving Proposed Rule Change to Establish a Fee for Company Profile Reports of OTCBB Issuers
See also:
Notice: Rel. No. 34-50037
|
SR-NASD-2004-094 |
34-50317 |
Sep. 3, 2004 |
Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to Proposed Amendments to TRACE Rule 6250 and Related TRACE Rules to Disseminate Transaction Information on Certain TRACE-Eligible Securities and Facilitate Dissemination of Such Information
See also:
Notice: Rel. No. 34-49920
|
SR-NASD-2004-127 |
34-50318 |
Sep. 3, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the National Quotation Data Service Fee Pilot
Comments due: October 1, 2004 |
SR-NASD-2004-114 |
34-50304 |
Sep. 1, 2004 |
Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Fees for Depth of Book Data in Exchange-Listed Securities in the Nasdaq Market Center
Comments due: September 30, 2004
See also:
Order: Rel. No. 34-50545
|
SR-NASD-2004-101 |
34-50305 |
Sep. 1, 2004 |
Order Granting Approval of Proposed Rule Change to Provide a Monthly Flat Fee for the Internal Distribution of PostData as an Alternative to the Monthly Per-Subscriber Fees Presently Available Under NASD Rule 7010(s)
See also:
Notice: Rel. No. 34-50068
|
SR-NASD-2004-105 |
34-50267 |
Aug. 26, 2004 |
Notice of Filing of Proposed Rule Change, and Amendment No.1 Thereto, to Amend Rule 4350(n) and IM-4350-7 to Provide Time Frames for Foreign Issuers and Foreign Private Issuers to Disclose Certain Code of Conduct Waivers
Comments due: September 22, 2004
See also:
Order: Rel. No. 34-50573
|
SR-NASD-2004-129 |
34-50274 |
Aug. 26, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend, and Provide an Interpretation to, Section 3 of Schedule A to NASD By-Laws and Amend NASD’s Permanent Self-Reporting Form
Comments due: September 23, 2004 |
SR-NASD-2004-124 |
34-50259 |
Aug. 25, 2004 |
Notice of Filing of Proposed Rule Change to Provide an Exception from Shareholder Approval Requirements when Officers, Directors, Employees or Consultants Participate in a Discounted Private Placement
Comments due: September 22, 2004 |
SR-NASD-2004-118 |
34-50262 |
Aug. 25, 2004 |
Notice of Filing of Proposed Rule Change to Introduce an Extranet Access Fee for Extranet Providers to Provide Direct Access Services for Nasdaq Market Data Feeds
Comments due: September 22, 2004
See also:
Order: Rel. No. 34-50483
Comments received
are available
for this notice. |
SR-NASD-2004-043 |
34-50226 |
Aug. 20, 2004 |
Notice of Filing of Proposed Rule Change Relating to Disclosure of Fees and Expenses in Mutual Fund Performance Sales Material
Comments due: September 17, 2004
See also:
Notice: Rel. No. 34-54103
Comments received
are available
for this notice. |
SR-NASD-2004-121 |
34-50221 |
Aug. 19, 2004 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Include Failures to Submit Timely Amendments to Form U5 in Minor Rule Violation Plan
Comments due: September 15, 2004
See also:
Order: Rel. No. 34-50446
Comments received
are available
for this notice. |
SR-NASD-2004-092 |
34-50217 |
Aug. 18, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment 1 Thereto Relating to Extension of Short Sale Rule and Continued Suspension of Primary Market Maker Standards Set Forth in Rule 4612
Comments due: September 15, 2004 |
SR-NASD-2004-002 |
34-50218 |
Aug. 18, 2004 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Thereto to Require an NASD Market Participant to Provide Written Notice Before Denying any NASD Member Direct Electronic Access to its Quote in the ADF
|
SR-NASD-2004-098 |
34-50204 |
Aug. 16, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Proposed Amendments to Eliminate Exemptions from the Continuing Education Regulatory Element Requirements
Comments due: September 13, 2004
See also:
Order: Rel. No. 34-50456
|
SR-NASD-2004-123 |
34-50192 |
Aug. 13, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete IM-2210-4(b) and Rule Series 3400 as Obsolete
Comments due: September 13, 2004 |
SR-NASD-2004-079 |
34-50199 |
Aug. 13, 2004 |
Order Granting Approval of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Provide for the Web Publication of Summaries of Interpretations Issued under NASD Rule 4550
See also:
Notice: Rel. No. 34-49935
|
SR-NASD-2004-109 |
34-50183 |
Aug. 11, 2004 |
Notice of Filing of Proposed Rule Change to Increase the Initial Inclusion Requirements for Certain Foreign Securities Seeking to List on the Nasdaq SmallCap Market
Comments due: September 8, 2004
See also:
Order: Rel. No. 34-50458
|
SR-NASD-2004-065 |
34-50176 |
Aug. 10, 2004 |
Order Approving Proposed Rule Change Regarding the Nasdaq Closing Cross
See also:
Notice: Rel. No. 34-49783
|
SR-NASD-2004-078 |
34-50162 |
Aug. 6, 2004 |
Order Approving Proposed Rule Change by the National Association of Securities Dealers, Inc. to Establish Certain Qualification Requirements for Supervisors of Research Analysts
See also:
Notice: Rel. No. 34-49857
|
SR-NASD-2004-099 |
34-50149 |
Aug. 5, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Permitting ITS/CAES Market Makers to Use the Automatic Quote Refresh Functionality for ITS Securities
Comments due: September 2, 2004 |
SR-NASD-2004-095 |
34-50157 |
Aug. 5, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting a Fingerprinting Program for NASD Employees and Independent Contractors in the State of New York, and, as Dictated by Business Need, in Other Jurisdictions
Comments due: September 2, 2004 |
SR-NASD-2004-117 |
34-50158 |
Aug. 5, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Extending the Operative Date for the Short-Sale ACT Reporting Requirements for Certain Securities
Comments due: September 2, 2004 |
SR-NASD-2004-115 |
34-50144 |
Aug. 4, 2004 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Amendments to Reduce the Fee for the Regulatory Element of the Continuing Education Program
Comments due: September 2, 2004 |
SR-NASD-2004-097 |
34-50140 |
Aug. 3, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Multiple Market Participant Identifiers for Exchange Listed Securities
Comments due: August 31, 2004 |
SR-NASD-2004-113 |
34-50119 |
Jul. 29, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change filed with the Commission to modify Nasdaq Market Center pricing.
Comments due: August 25, 2004 |
SR-NASD-2003-176 |
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
See also:
Order: Rel. No. 34-50347;
Notice: Rel. No. 34-49129;
Notice: Rel. No. 34-48981
|
SR-NASD-2004-091 |
34-50091 |
Jul. 27, 2004 |
Order Granting Approval of Proposed Rule Change to Discontinue the Use of the Nasdaq NEWS Feature of the Nasdaq Workstation II, and to Provide a Different Standard for the Beginning and End of a Trading Halt
See also:
Notice: Rel. No. 34-49898
|
SR-NASD-2004-112 |
34-50097 |
Jul. 27, 2004 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Extend Its Pilot Program Relating to Price-Improvement Standards under the Manning Interpretation
Comments due: August 24, 2004 |
SR-NASD-2004-100 |
34-50099 |
Jul. 27, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Amend the Rule 9600 Series
Comments due: August 24, 2004 |
SR-NASD-2004-103 |
34-50084 |
Jul. 26, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto to Modify the Methodology for Applying Nasdaq’s Pricing Schedule to Affiliated Members
Comments due: August 20, 2004 |
SR-NASD-2004-090 |
34-50087 |
Jul. 26, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 thereto Relating to the Nasdaq Closing Cross
Comments due: August 23, 2004
See also:
Order: Rel. No. 34-50391
|
SR-NASD-2004-101 |
34-50068 |
Jul. 23, 2004 |
Notice of Filing of Proposed Rule Change to Provide a Monthly Flat Fee for the Internal Distribution of PostData as an Alternative to the Monthly Per-Subscriber Fees Presently Available Under NASD Rule 7010(s)
Comments due: August 19, 2004
See also:
Order: Rel. No. 34-50305
|
SR-NASD-2004-076 |
34-50074 |
Jul. 23, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, and Amendments No. 1 and 2 thereto, to Rename Certain of NASDAQ’s Systems and to Make other Technical Corrections
Comments due: August 20, 2004
(
Text of proposed rules also available) |
SR-NASD-2004-021 |
34-50059 |
Jul. 22, 2004 |
Order Granting Approval to Proposed Rule Change and Amendment No. 1 Thereto Relating to Reporting of Cancelled Trades
See also:
Notice: Rel. No. 34-49844
|
SR-NASD-2004-108 |
34-50065 |
Jul. 22, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Treatment of Commodity Pool Trail Commissions
Comments due: August 20, 2004
Comments received
are available
for this notice. |
SR-NASD-2004-039 |
34-50036 |
Jul. 19, 2004 |
Order Approving Proposed Rule Change by the National Association of Securities Dealers, Inc. to Reduce the Time for Chairperson Selection
See also:
Notice: Rel. No. 34-49852
|
SR-NASD-2004-102 |
34-50037 |
Jul. 19, 2004 |
Notice of Filing of a Proposed Rule Change to Establish a Fee for Company Profile Reports of OTCBB Issuers
Comments due: August 17, 2004
See also:
Order: Rel. No. 34-50325
|
SR-NASD-2004-106 |
34-50038 |
Jul. 19, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Program Modifying Fees and Credits for Orders and Quotes Executed in the Nasdaq Closing Cross
Comments due: August 17, 2004 |
SR-NASD-2004-058 |
34-50018 |
Jul. 14, 2004 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Partial Customer Account Transfers
Comments due: August 12, 2004 |
Second Quarter |
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
See also:
Notice: Rel. No. 34-49688
|
SR-NASD-2004-079 |
34-49935 |
Jun. 29, 2004 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Provide for the Web Publication of Summaries of Interpretations Issued Under NASD Rule 4550
Comments due: July 27, 2004
See also:
Order: Rel. No. 34-50199
|
SR-NASD-2004-093 |
34-49927 |
Jun. 28, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Establishing a Revised Effective Date for Amendments to the Order Audit Trail System Rules Relating to Execution Reports
Comments due: July 27, 2004 |
SR-NASD-2004-094 |
34-49920 |
Jun. 25, 2004 |
Notice of Filing of Proposed Rule Change Relating to Proposed Amendments to TRACE Rule 6250 and Related TRACE Rules to Disseminate Transaction Information on TRACE-Eligible Securities and Facilitate Dissemination
Comments due: July 23, 2004
See also:
Order: Rel. No. 34-50317
Comments received
are available
for this notice. |
SR-NASD-2004-087 |
34-49910 |
Jun. 24, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Technical Amendments to Section 4 of Schedule A to the NASD By-Laws and to Rule 10308(d) of the NASD Code of Arbitration Procedure
Comments due: July 21, 2004 |
SR-NASD-2004-077 |
34-49905 |
Jun. 23, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto to Eliminate Certain Transaction Charges for ITS Securities
Comments due: July 21, 2004 |
SR-NASD-2004-080 |
34-49901 |
Jun. 22, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto to Conform Certain Provisions of NASD Rules 4200 and 4350 to the Rules of Another Self-Regulatory Organization, and to Make Additional Revisions
Comments due: July 20, 2004 |
SR-NASD-2004-086 |
34-49903 |
Jun. 22, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Clarify the Treatment of Certain Non-Preferential, Ordinary-Course Payments
Comments due: July 20, 2004 |
SR-NASD-2004-091 |
34-49898 |
Jun. 21, 2004 |
Notice of Filing of Proposed Rule Change to Discontinue the Use of the Nasdaq NEWS Feature of the Nasdaq Workstation II and to Provide a Different Standard for the Beginning and End of a Trading Halt
Comments due: July 16, 2004
See also:
Order: Rel. No. 34-50091
|
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.
See also: Notices: Rel. Nos.
34-48460;
34-48298;
34-47021;
34-46859
|
SR-NASD-2004-075 |
34-49872 |
Jun. 16, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Eliminate Certain Transaction Charges for ITS Securities
Comments due: July 14, 2004 |
SR-NASD-2004-01 |
34-49875 |
Jun. 16, 2004 |
Order Granting Approval of Proposed Rule Change Relating to Arbitrator Training Fees
See also:
Notice: Rel. No. 34-49674
|
SR-NASD-2004-016 |
34-49876 |
Jun. 16, 2004 |
Order Granting Approval of Proposed Rule Change Relating to Implementation of a Web-based Arbitration Claim Notification and Filing Procedure
See also:
Notice: Rel. No. 34-49673
|
SR-NASD-2004-078 |
34-49857 |
Jun. 15, 2004 |
Notice of Filing of Proposed Rule Change to Establish Certain Qualification Requirements for Supervisors of Research Analysts
Comments due: July 14, 2004
See also:
Order: Rel. No. 34-50162
|
SR-NASD-2004-039 |
34-49852 |
Jun. 14, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Relating to Reducing the Time for Chairperson Selection
Comments due: July 9, 2004
See also:
Order: Rel. No. 34-50036
|
SR-NASD-2004-057 |
34-49854 |
Jun. 14, 2004 |
Order Granting Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Proposed Amendments to Reduce the Reporting Period for Transactions in TRACE-Eligible Securities
See also:
Notice: Rel. No. 34-49607
|
SR-NASD-2004-021 |
34-49844 |
Jun. 10, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Reporting of Cancelled Trades
Comments due: July 8, 2004
See also:
Order: Rel. No. 34-50059
|
SR-NASD-2003-69 |
34-49845 |
Jun. 10, 2004 |
Order Approving Proposed Rule Change Regarding Failure to Pay Arbitration Awards
See also:
Notice: Rel. No. 34-49636
|
SR-NASD-2004-71 |
34-49842 |
Jun. 9, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 thereto Regarding Improved Nasdaq Opening Process
Comments due: July 8, 2004
See also:
Order: Rel. No. 34-50405
Comments received
are available
for this notice. |
SR-NASD-2004-056 |
34-49833 |
Jun. 8, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Short-Sale ACT Reporting Requirements
Comments due: July 8, 2004
Comments received
are available
for this notice. |
SR-NASD-2004-083 |
34-49796 |
Jun. 2, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Non-Standard Settlement Trades
Comments due: June 29, 2004 |
SR-NASD-2004-065 |
34-49783 |
May 27, 2004 |
Notice of Filing of Proposed Rule Change Regarding the Nasdaq Closing Cross
Comments due: June 25, 2004
See also:
Order: Rel. No. 34-50176
|
SR-NASD-2004-055 |
34-49752 |
May 21, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto
Comments due: June 17, 2004 |
SR-NASD-2004-081 |
34-49746 |
May 20, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Unit Listing Standards.
Comments due: June 17, 2004 |
SR-NASD-2004-069 |
34-49732 |
May 19, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Redesignate NASD Rules 4200A and 4350A
Comments due: June 15, 2004 |
SR-NASD-2004-034 |
34-49733 |
May 19, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 thereto to Allow Members to Report Certain Trades Through SuperMontage
Comments due: June 16, 2004 |
SR-NASD-2004-072 |
34-49738 |
May 19, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Establish Fees for the Use of the Nasdaq Workstation II Service by NASD Members Via Digital Subscriber Lines
Comments due: June 16, 2004 |
SR-NASD-2004-061 |
34-49715 |
May 17, 2004 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Listing and Trading of 97% Protected Notes Linked to the Global Equity Basket
Comments due: June 14, 2004 |
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
See also:
Notice: Rel. No. 34-49545
|
SR-NASD-2003-163 |
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
See also:
Order: Rel. No. 34-49950
Comments received
are available
for this notice. |
SR-NASD-2004-016 |
34-49673 |
May 10, 2004 |
Notice of Filing of Proposed Rule Change Relating to Implementation of a Web-based Arbitration Claim Notification and Filing Procedure
Comments due: June 4, 2004
See also:
Order: Rel. No. 34-49876
|
SR-NASD-2004-01 |
34-49674 |
May 10, 2004 |
Notice of Filing of Proposed Rule Change Relating to Arbitrator Training Fee
Comments due: June 4, 2004
See also:
Order: Rel. No. 34-49875
|
SR-NASD-2004-073 |
34-49667 |
May 7, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Change the Minimum Term for Selected Equity-linked Debt Securities
Comments due: June 4, 2004 |
SR-NASD-2004-068 |
34-49670 |
May 7, 2004 |
Notice of Filing and Order Granting Accelerated Approval of a proposed rule change relating to the listing and trading of Accelerated Return Notes linked to the Nikkei 225 Index.
Comments due: June 7, 2004 |
SR-NASD-2004-070 |
34-49660 |
May 6, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit Shareholder Action by Written Consent
Comments due: June 2, 2004 |
SR-NASD-2004-036 |
34-49663 |
May 6, 2004 |
Order Granting Approval of a Proposed Rule Change to Revise a Update the Fee Schedule for OTC Bulletin Board Historical Trading Activity Reports
See also:
Notice: Rel. No. 34-49486
|
SR-NASD-2004-064 |
34-49650 |
May 4, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Technical Corrections to the Supermontage Rules
Comments due: June 1, 2004 |
SR-NASD-2004-067 |
34-49648 |
May 3, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend NASD Rule 7010 to Modify the Charges Paid by Members Receiving Nasdaq’s Service for Trading Exchange-Listed Securities
Comments due: June 1, 2004 |
SR-NASD-2003-69 |
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.
See also:
Order: Rel. No. 34-49845
|
SR-NASD-2004-023 |
34-49628 |
Apr. 29, 2004 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Amend the Order Audit Trail System Rules Relating to Execution Reports
See also:
Notice: Rel. No. 34-49439
|
SR-NASD-2004-063 |
34-49622 |
Apr. 27, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify NASD Rule 4619 to Correct a Typographical Error
Comments due: May 25, 2004 |
SR-NASD-2004-057 |
34-49607 |
Apr. 23, 2004 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Relating to Proposed Amendments to Reduce the Reporting Period for Transactions in TRACE-Eligible Securities
Comments due: May 20, 2004
See also:
Order: Rel. No. 34-49854
Comments received
are available
for this notice.
|
SR-NASD-2004-066 |
34-49604 |
Apr. 22, 2004 |
Notice of Filing of Proposed Rule Change Related to Direct ECN Connection to SuperMontage
Comments due: May 21, 2004 |
SR-NASD-2004-062 |
34-49603 |
Apr. 22, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed to Modify the Pricing for Trading Nasdaq-Listed Securities on SuperMontage
Comments due: May 21, 2004 |
SR-NASD-2004-051 |
34-49597 |
Apr. 21, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendments No. 1 and No. 2 Thereto Relating to the Use of Summary Orders for NNMS Order-Delivery ECNs Using the SIZE MPID in SuperMontage
Comments due: May 19, 2004 |
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-2003-95 |
34-49573 |
Apr. 16, 2004 |
Order Granting Approval to a Proposed Rule Change Relating to Arbitrator Classification and Disclosure in NASD Arbitrations
See also:
Notice: Rel. No. 34-48347
|
SR-NASD-2004-048 |
34-49576 |
Apr. 16, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Create a Pilot Program Modifying SuperMontage Fees and Credits for Orders and Quotes Executed in the Nasdaq Closing Cross
Comments due: May 14, 2004 |
SR-NASD-2004-059 |
34-49556 |
Apr. 12, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding an Interpretation to its Trade Through Rule for Exchange-Listed Securities
Comments due: May 11, 2004 |
SR-NASD-2004-046 |
34-49547 |
Apr. 9, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 thereto Regarding SuperMontage Postable Auto-Ex Orders
Comments due: May 6, 2004 |
SR-NASD-2003-164 |
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
See also:
Order: Rel. No. 34-49716
|
SR-NASD-2004-060 |
34-49534 |
Apr. 7, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Nasdaq Closing Cross
Comments due: May 4, 2004 |
SR-NASD-2004-018 |
34-49535 |
Apr. 7, 2004 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Amend the Procedures for the Review of Nasdaq Listing Determinations
|
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
See also:
Notice: Rel. No. 34-48503;
Notice: Rel. No. 34-46444
|
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
See also:
Notice: Rel. No. 34-48926
|
SR-NASD-2004-049 |
34-49527 |
Apr. 2, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Examination and Development Fees in Connection with Series 86/87 Fees for Research Analysts
Comments due: May 5, 2004
|
First Quarter |
SR-NASD-2004-054 |
34-49512 |
Mar. 31, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Permanent the Current Pilot Program for the Imposition of a Fee for Written Interpretations of Nasdaq Listing Rules
Comments due: April 29, 2004
Comments received
are available
for this notice. |
SR-NASD-2003-184 |
34-49497 |
Mar. 29, 2004 |
Order Granting Approval of Proposed Rule Change to Require Members to Review and Update Executive Representative Contact Information on a Quarterly Basis
Comments received
are available
for this notice. |
SR-NASD-2004-040 |
34-49452 |
Mar. 26, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend, for an Additional Six-Month Period, a Pilot Rule Regaing Waiver of California Arbitrator Disclosure Standards
Comments due: April 21, 2004 |
SR-NASD-2004-036 |
34-49486 |
Mar. 26, 2004 |
Notice of Filing of a Proposed Rule Change to Modify NASD Rule 7010(p)(3) to Revise and Update the Fee Schedule for OTC Bulletin Board Historical Trading Activity Reports
Comments due: April 22, 2004
See also:
Order: Rel. No. 34-49663
|
SR-NASD-2004-037 |
34-49471 |
Mar. 25, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Revising the Pilot Relating to the Issuance of Market Participant Identifiers
Comments due: April 21, 2004 |
SR-NASD-2004-020 |
34-49464 |
Mar. 24, 2004 |
Order Granting Accelerated Approval of Proposed Rule Changes by the New York Stock Exchange, Inc. and the National Association of Securities Dealers, Inc. Relating to Certain Prerequisites to and Exemptions from Taking the Research Analyst Qualification Examination ("Series 86/87")
See also:
Notice: Rel. No. 34-49314
|
SR-NASD-2004-023 |
34-49439 |
Mar. 17, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Amend Order Audit Trail System Rules Relating to Execution Reports
Comments due: April 14, 2004
See also:
Order: Rel. No. 34-49628
|
SR-NASD-2004-032 |
34-49427 |
Mar. 16, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto to Modify NASD Rule 4619 with Respect to Certain Excused Withdrawal Requests
Comments due: April 13, 2004 |
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
See also:
Notice: Rel. No. 34-48878
|
SR-NASD-2004-020 |
34-49314 |
Feb. 24, 2004 |
Notice of Filing of Proposed Rule Changes by the New York Stock Exchange, Inc. and the National Association of Securities Dealers, Inc. Relating to Certain Prerequisites to and Exemptions from Taking the Research Analyst Qualification Examination ("Series 86/87")
See also:
Order: Rel. No. 34-49464
Comments received
are available
for this notice.
File No.: SR-NYSE-2004-03 |
SR-NASD-2004-031 |
34-49285 |
Feb. 20, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Establishing an Effective Date For NASD Rule 3370, Affirmative Determination Requirements
Comments received
are available
for this notice. |
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-2003-176 |
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
See also:
Order: Rel. No. 34-50347;
Notice: Rel. No. 34-50105;
Notice: Rel. No. 34-48981
|
SR-NASD-2003-201 |
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.
See also:
Order: Rel. No. 34-50485
|
SR-NASD-2004-06 |
34-49106 |
Jan. 20, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Entry of Locking or Crossing Bids or Offers by ECNs Participating in Nasdaq's SuperMontage System
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)
See also:
Notice: Rel. No. 34-48714
|
SR-NASD-2004-05 |
34-49081 |
Jan. 14, 2004 |
Notice of Filing of Proposed Rule Change to Amend NASD Rule 2370 Relating to Certain Lending Arrangements Between Registered Persons and Customers
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
See also:
Notice: Rel. No. 34-48675
|
NASD File Number List for 2004 |
Release No. |
Date |
Details |
SR-NASD-2004-190 |
34-50956 |
Jan. 3, 2005 |
Notice of Filing and and Immediate Effectiveness of Proposed Rule Change to Establish the Minimum Quotation Increment for the BRUT ECN System
Comments due: January 31, 2005
|
SR-NASD-2004-189 |
34-50977 |
Jan. 6, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trade Reporting and Compliance Engine (“TRACE”) Fees and Implementation Date of Stage Two of Dissemination of TRACE Transaction Information
Comments due: February 2, 2004
|
SR-NASD-2004-188 |
34-50916 |
Dec. 22, 2004 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Listing and Trading of Performance Leveraged Upside Securities Based on the Value of the Index
Comments due: January 20, 2005
|
SR-NASD-2004-187 |
34-50922 |
Dec. 22, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of Short Sale Rule and Continued Suspension of Primary Market Maker Standards Set Forth in Rule 4612.
Comments due: January 19, 2005
|
SR-NASD-2004-185 |
34-51814 |
Jun. 9, 2005 |
Order Approving a Proposed Rule Change and Amendments Nos. 1 and 2 Thereto to Establish a Unitary Fee Schedule for Distribution of Real Time Data Feed Products Containing Nasdaq Market Center Data
|
34-51598 |
Apr. 21, 2005 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Establish a Unitary Fee Schedule for Distribution of Real Time Data Feed Products Containing Nasdaq Market Center Data
Comments due: May 19, 2005
Comments received
are available
for this notice.
|
SR-NASD-2004-183 |
34-56375A |
Sep. 14, 2007 |
Notice of Filing of Amendment Nos. 3 and 4 and Order Granting Accelerated Approval of the Proposed Rule, as Amended, Related to Sales Practice Standards and Supervisory Requirements for Transactions in Variable Annuities (Correction)
|
34-56375 |
Sep. 7, 2007 |
Notice of Filing of Amendment Nos. 3 and 4 and Order Granting Accelerated Approval of the Proposed Rule, as Amended, Related to Sales Practice Standards and Supervisory Requirements for Transactions in Deferred Variable Annuities
Comments due: October 4, 2007
Comments received
are available
for this notice.
|
34-54023 |
Jun. 21, 2006 |
Notice of Filing Amendment No. 2 to Proposed Rule Relating to Sales Practice Standards and Supervisory Requirements for Transactions in Deferred Variable Annuities
Comments due: July 19, 2006
Comments received
are available
for this notice.
|
34-52191 |
Aug. 2, 2005 |
Notice of Extension of Comment Period for Proposed Rule and Amendment No. 1 Thereto Relating to Sales Practice Standards and Supervisory Requirements for Transactions in Deferred Variable Annuities
Comments due: September 19, 2005
Comments received
are available
for this notice.
|
34-52046A |
Jul. 19, 2005 |
Notice of Filing of Proposed Rule and Amendment No. 1 Thereto Relating to Sales Practice Standards and Supervisory Requirements for Transactions in Deferred Variable Annuities (Correction)
Comments due: August 11, 2005
Comments received
are available
for this notice.
|
SR-NASD-2004-182 |
34-50930 |
Dec. 27, 2004 |
Notice of Filing of Proposed Rule Change Regarding Minor Modifications to the Nasdaq Opening Process For Nasdaq-Listed Stocks
Comments due: January 26, 2005
|
SR-NASD-2004-181 |
34-50845 |
Dec. 13, 2004 |
Notice of Filing of Proposed Rule Change Concerning Modifications to The Nasdaq Market Center Execution Service
Comments due: January 10, 2005
Comments received
are available
for this notice.
|
SR-NASD-2004-180 |
34-51213 |
Feb. 16, 2005 |
Order Approving Proposed Rule Change Regarding Waiver of California Arbitrator Standards
|
34-50971 |
Jan. 6, 2005 |
Notice of Filing of Proposed Rule Change Regarding Waiver of California Arbitrator Disclosure Standards
Comments due: February 4, 2005
|
SR-NASD-2004-179 |
34-51075 |
Jan. 24, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Section 13 of Schedule A of the NASD By-Laws (Review Charge for Advertisement, Sales Literature, and Other Such Material Filed With or Submitted to NASD)
Comments due: February 18, 2005
|
SR-NASD-2004-177 |
34-50984 |
Jan. 6, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Filing Documents Pursuant to NASD Rule 2710 (Corporate Financing Rule -- Underwriting Terms and Agreements)
Comments due: February 3, 2004
Comments received
are available
for this notice.
|
SR-NASD-2004-176 |
34-50893 |
Dec. 20, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend an Existing Pilot Relating to Manning Price-Improvement Standards
Comments due: January 19, 2005
|
SR-NASD-2004-175 |
34-50822 |
Dec. 8, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Repeal of Existing NASD Short Sale Rules in Light of SEC Regulation SHO
Comments due: January 4, 2005
Comments received
are available
for this notice.
|
SR-NASD-2004-174 |
34-51023 |
Jan. 11, 2005 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to Frequency of Updates From the National Do-Not-Call Registry
Comments due: February 9, 2005
|
SR-NASD-2004-173 |
34-51326 |
Mar. 7, 2005 |
Order Approving a Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Thereto to Establish Rules Governing the Operation of Nasdaq's Brut Facility
|
34-51078 |
Jan. 25, 2005 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Establish Rules Governing the Operation of Nasdaq's Brut Facility
Comments due: February 22, 2005
|
SR-NASD-2004-172 |
34-50640 |
Nov. 5, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Pilot Modifications and Minor Modifications to the Nasdaq Opening Process For Nasdaq-Listed Stocks
Comments due: December 6, 2004
|
SR-NASD-2004-171 |
34-54411A |
Oct. 6, 2006 |
Order Approving Proposed Rule Change Relating to Rule 2340 Concerning Customer Account Statements (Correction)
Comments received
are available
for this notice.
|
34-54411 |
Sep. 7, 2006 |
Order Approving Proposed Rule Change Relating to Rule 2340 Concerning Customer Account Statements
Comments received
are available
for this notice.
|
34-51181 |
Feb. 10, 2005 |
Notice of Proposed Rule Change and Amendment No. 1 thereto Relating to Amendments to Rule 2340 (Customer Account Statements)
Comments due: March 9, 2005
Comments received
are available
for this notice.
|
SR-NASD-2004-170 |
34-50787 |
Dec. 2, 2004 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto to Establish Combined Nasdaq Market Center and Brut Pricing for Non-NASD Members
Comments due: December 30, 2004
|
SR-NASD-2004-169 |
34-51123 |
Feb. 2, 2005 |
Order Granting Approval to Proposed Rule Change and Amendment No. 3 Thereto to Adopt Additional Listing Standards Applicable to the Securities of The Nasdaq Stock Market, Inc. or an Affiliate
|
34-50897 |
Dec. 21, 2004 |
Notice of Filing of Proposed Rule Change to Adopt Additional Listing Standards Applicable to the Securities of The Nasdaq Stock Market, Inc. or an Affiliate
Comments due: January 19, 2005
|
SR-NASD-2004-168 |
34-50823 |
Dec. 8, 2004 |
Notice of Filing of and Immediate Effectiveness of Proposed Rule Change Relating to Certificate of Designation for Preferred Stock of The Nasdaq Stock Market, Inc.
Comments due: January 5, 2005
|
SR-NASD-2004-167 |
34-50670 |
Nov. 16, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Establish Combined Nasdaq Market Center and Brut Pricing for NASD Members
Comments due: December 13, 2004
|
SR-NASD-2004-166 |
34-50860 |
Dec. 15, 2004 |
Order Granting Approval of Proposed Rule Change Modifying Fee Schedule for Other Securities
|
34-50629 |
Nov. 3, 2004 |
Notice of Filing of Proposed Rule Change Modifying the Other Securities Fee Schedule
Comments due: December 1, 2004
|
SR-NASD-2004-165 |
34-52209A |
Aug. 22, 2005 |
Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to NASD Rule 2790; Corrected
|
34-52209 |
Aug. 4, 2005 |
Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to NASD Rule 2790
|
34-51735 |
May 24, 2005 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to NASD Rule 2790
Comments received
are available
for this notice.
|
SR-NASD-2004-164 |
34-51339 |
Mar. 9, 2005 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to the Random Selection of Arbitrators by the Neutral List Selection System
|
34-51083 |
Jan. 26, 2005 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Random Selection of Arbitrators by the Neutral List Selection System
Comments due: February 22, 2005
Comments received
are available
for this notice.
|
SR-NASD-2004-163 |
34-50627 |
Nov. 3, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of Pilot for Bond Trade Dissemination Service (“BTDS”) Professional Delayed-Time Data Display Fee
Comments due: November 30, 2004
|
SR-NASD-2004-162 |
34-52712 |
Nov. 1, 2005 |
Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Establish Fee and Notice Requirements for Substitution Listing Events and Other Corporate Changes
|
34-52430 |
Sep. 14, 2005 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Establish Fee and Notice Requirements for Substitution Listing Events and to provide Additional Transparency for Changes Requiring a Record-keeping Fee
Comments due: October 13, 2005
|
SR-NASD-2004-161 |
34-50636 |
Nov. 4, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Pilot Program Waiving Fees and Credits for Orders and Quotes Executed in the Nasdaq Opening Cross
Comments due: December 1, 2004
|
SR-NASD-2004-160 |
34-50601 |
Oct. 28, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Operation of NASD’s Alternative Display Facility on a Pilot Basis
Comments due: November 26, 2004
|
SR-NASD-2004-159 |
34-51356 |
Mar. 10, 2005 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Allow NASD, on a Pilot Basis, to Review Denial of Access Complaints Related to the Alternative Display Facility
|
SR-NASD-2004-159 |
34-51092 |
Jan. 28, 2005 |
Notice of Filing of Proposed Rule Change to Allow NASD to Review on a Pilot Basis Denial of Access Complaints Related to the Alternative Display Facility
Comments due: February 25, 2005
|
SR-NASD-2004-158 |
34-50647 |
Nov. 8, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Fee for Direct ECN Connections to the Nasdaq Market Center
Comments due: December 6, 2004
|
SR-NASD-2004-157 |
34-50710 |
Nov. 19, 2004 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Listing and Trading of Performance Leveraged Upside Securities Linked to the Russell 2000 Index
Comments due: December 20, 2004
|
SR-NASD-2004-156 |
34-50678 |
Nov. 16, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to ECN Response Time Measurement in the Nasdaq Market Center
Comments due: December 14, 2004
|
SR-NASD-2004-155 |
34-50604 |
Oct. 28, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Access Fees for Non-NASD Members Using Nasdaq's Brut Facility
Comments due: November 29, 2004
|
SR-NASD-2004-153 |
34-50748 |
Nov. 29, 2004 |
Order Approving Proposed Rule Change to Provide a Delta Hedge Exemption from Stock Option Position Limits for OTC Derivatives Dealers Affiliated with NASD Member Firms When Certain Conditions Are Satisfied
|
34-50539 |
Oct. 14, 2004 |
Notice of Filing of Proposed Rule Change Relating to a Conditional Exemption from Stock Option Position Limits for OTC Derivatives Dealers
Comments due: November 12, 2004
|
SR-NASD-2004-152 |
34-50602 |
Oct. 28, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Minor Modifications to the Nasdaq Opening Process For Nasdaq-Listed Stocks
Comments due: November 26, 2004
|
SR-NASD-2004-151 |
34-50621 |
Nov. 2, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Making Technical Modifications to the NASD Trade Reporting Rules
Comments due: November 30, 2004
|
SR-NASD-2004-150 |
34-50862 |
Dec. 15, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment 1 Thereto Relating to an Interpretation of Rule 3350
Comments due: January 19, 2005
|
SR-NASD-2004-149 |
34-50502 |
Oct. 7, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Access Fees for Nasdaq’s Brut Facility
Comments due: November 5, 2004
|
SR-NASD-2004-148 |
34-50558 |
Oct. 18, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to TRACE Rule 6250
Comments due: November 15, 2004
|
SR-NASD-2004-147 |
34-50753 |
Nov. 29, 2004 |
Order Granting Approval to Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 to Modify the Bid Price Compliance Periods on the Nasdaq National Market and SmallCap Market and to Require Non-Canadian Foreign Issuers to Satisfy the Bid Price and Market Value of Publicly Held Shares Requirements Applicable to Domestic Issuers for Continued Listing on the SmallCap Market
|
34-50541 |
Oct. 14, 2004 |
Notice of Filing of Proposed Rule Change to Bid Price Compliance Periods and Market Value of Publicly Held Shares Requirements
Comments due: November 12, 2004
|
SR-NASD-2004-146 |
34-50571 |
Oct. 20, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 to Permanently Adopt Fees for TotalView Product
Comments due: November 17, 2004
|
SR-NASD-2004-145 |
34-50575 |
Oct. 20, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 thereto Relating to Amendments to Section 4 of Schedule A to the NASD By-Laws (Fees for Qualification Examinations)
Comments due: November 17, 2004
|
SR-NASD-2004-144 |
34-50468 |
Sep. 29, 2004 |
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change Relating to the Listing and Trading of Theravance, Inc. Common Stock
Comments due: October 26, 2004
|
SR-NASD-2004-143 |
34-50537 |
Oct. 14, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, and Amendment No. 1 thereto, Relating to Attributable Summary Orders in the Nasdaq Market Center
Comments due: November 12, 2004
|
SR-NASD-2004-142 |
34-51005 |
Jan. 10, 2005 |
Order Approving Proposed Rule Change to Establish Fees for Companies with a Dual Listing on the New York Stock Exchange and Nasdaq
|
34-50741 |
Nov. 29, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Establish Fees for Companies with a Dual Listing on the New York Stock Exchange and Nasdaq
Comments due: December 27, 2004
|
SR-NASD-2004-141 |
34-51593 |
Apr. 21, 2005 |
Order Approving Proposed Rule Changes to Prohibit Participation by a Research Analyst in a Road Show Related to an Investment Banking Services Transaction and to Require Certain Communications about an Investment Banking Services Transaction to Be Fair, Balanced and Not Misleading
File No.: SR-NYSE-2004-24
|
34-51358 |
Mar. 10, 2005 |
Notice of Filing of Proposed Rule Changes to Prohibit Participation by a Research Analyst in a Road Show Related to an Investment Banking Services Transaction and to Require Certain Communications About an Investment Banking Services Transaction to be Fair, Balanced and Not Misleading
Comments due: April 7, 2005
Release No.: SR-NYSE-2004-24
Comments received
are available
for this notice.
|
SR-NASD-2004-140 |
34-51004 |
Jan. 10, 2005 |
Order Approving Proposed Rule Change to Eliminate Entry and Application Fees for Exchange-Listed Issuers Transferring Listings to Nasdaq
|
34-50740 |
Nov. 29, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Eliminate Entry and Application Fees for Exchange-Listed Issuers Transferring Listings to Nasdaq
Comments due: December 27, 2004
|
SR-NASD-2004-139 |
34-51891 |
Jun. 21, 2005 |
Order Approving Proposed Rule Change and Amendment No. 1 and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Relating to the Listing and Trading of Leveraged Index Return Notes Linked to the Dow Jones Industrial Average
|
34-51425 |
Mar. 23, 2005 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Listing and Trading of Leveraged Index Return Notes Linked to the Dow Jones Industrial Average
Comments due: April 20, 2005
|
SR-NASD-2004-138 |
34-50501 |
Oct. 7, 2004 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change, Relating to the Listing and Trading of Performance Leveraged Upside Securities Based on the Value of the Dow Jones Euro Stoxx 50 Index
Comments due: November 9, 2004
|
SR-NASD-2004-137 |
34-50409 |
Sep. 17, 2004 |
Notice of Filing and Order Accelerating Approving of Proposed Rule Change Amending OATS Rules to Require that ECNs Capture Routed Order Identifier Information
Comments due: October 14, 2004
|
SR-NASD-2004-136 |
34-50335 |
Sep. 9, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Implementation Date of Notice to Members 04-50 (Treatment of Commodity Pool Trail Commissions Under Rule 2810)
Comments due: October 7, 2004
Comments received
are available
for this notice.
|
SR-NASD-2004-135 |
34-54088 |
Jun. 30, 2006 |
Order Granting Approval of Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto, and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 4 to the Proposed Rule Change, to Adopt NASD Rule 2441 to Require Disclosure and Consent When Trading on a Net Basis With Customers
Comments due: 21 days after publication in the Federal Register
Comments received
are available
for this notice.
|
34-51457 |
Mar. 31, 2005 |
Notice of Filing of Proposed Rule Change Relating to Disclosure and Consent Requirements when Trading on a Net Basis with Customers
Comments due: April 27, 2005
Comments received
are available
for this notice.
|
SR-NASD-2004-134 |
34-50434 |
Sep. 23, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Multiple Market Participant Identifiers
Comments due: October 21, 2004
|
SR-NASD-2004-133 |
34-50848 |
Dec. 14, 2004 |
Order Granting Approval of Proposed Rule Change to Amend NASD Rule 9522 ("Initiation of Eligibility Proceeding; Member Regulation Consideration") to give Member Regulation the Authority to Approve the MC-400 Applications of Statutorily Disqualified Persons Who Will Be Engaged Solely in Clerical and/or Ministerial Activities
|
34-50626 |
Nov. 3, 2004 |
Notice of Filing of Proposed Rule Change Relating to Proposed Amendments to NASD Rule 9522 ("Initiation of Eligibility Proceeding; Member Regulation Consideration")
Comments due: December 1, 2004
|
SR-NASD-2004-132 |
34-50724 |
Nov. 23, 2004 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Listing and Trading of Accelerated Return Notes Linked to the Russell 2000 Index
Comments due: December 21, 2004
|
SR-NASD-2004-131 |
34-52276 |
Aug. 17, 2005 |
Order Granting Approval to Proposed Rule Change and Amendments Nos. 1 and 2 Thereto, and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 Thereto, Relating to the Listing and Trading of Leveraged Index Return Notes Linked to the Nikkei 225 Index
|
34-51970 |
Jul. 5, 2005 |
Notice of Filing of Proposed Rule Change and Amendments Nos. 1 and 2 Thereto Relating to the Listing and Trading of Leveraged Index Return Notes Linked to Nikkei 225 Index
Comments due: August 2, 2005
|
SR-NASD-2004-130 |
34-56004 |
Jul. 2, 2007 |
Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change as Modified by Amendment Nos. 2 and 3 Relating to Amendments to Rule 2320(g) (Three Quote Rule) and Corresponding Recordkeeping Requirements under Rule 3110(b)
Comments due: July 30, 2007
Comments received
are available
for this notice.
|
34-54650 |
Oct. 25, 2006 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Relating to Amendments to Rule 2320(g) (Three Quote Rule) and Corresponding Recordkeeping Requirements under Rule 3110(b)
Comments due: November 21, 2006
Comments received
are available
for this notice.
|
SR-NASD-2004-129 |
34-50274 |
Aug. 26, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend, and Provide an Interpretation to, Section 3 of Schedule A to NASD By-Laws and Amend NASD’s Permanent Self-Reporting Form
Comments due: September 23, 2004
|
SR-NASD-2004-128 |
34-50838 |
Dec. 10, 2004 |
Order Granting Approval of Proposed Rule Change to Modify the Annual Fee for Certain Issuers Listed on The Nasdaq Stock Market, Inc.
|
34-50577 |
Oct. 21, 2004 |
Notice of Filing of Proposed Rule Change to Modify the Annual Fee for Certain Issuers Listed on The Nasdaq Stock Market, Inc.
Comments due: November 18, 2004
Comments received
are available
for this notice.
|
SR-NASD-2004-127 |
34-50318 |
Sep. 3, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the National Quotation Data Service Fee Pilot
Comments due: October 1, 2004
|
SR-NASD-2004-126 |
34-50447 |
Sep. 24, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Waiver of California Arbitrator Disclosure Standards
Comments due: October 21, 2004
|
SR-NASD-2004-125 |
34-52342 |
Aug. 26, 2005 |
Order Approving Proposed Rule Change and Amendment No. 1 and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 2 Regarding Procedures for Denying Listing on Nasdaq
|
34-51268 |
Feb. 28, 2005 |
Notice of Filing of Proposed Rule Change Regarding Procedures for Denying Listing on Nasdaq
Comments due: March 25, 2005
Comments received
are available
for this notice.
|
SR-NASD-2004-124 |
34-50259 |
Aug. 25, 2004 |
Notice of Filing of Proposed Rule Change to Provide an Exception from Shareholder Approval Requirements when Officers, Directors, Employees or Consultants Participate in a Discounted Private Placement
Comments due: September 22, 2004 |
SR-NASD-2004-123 |
34-50192 |
Aug. 13, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete IM-2210-4(b) and Rule Series 3400 as Obsolete
Comments due: September 13, 2004 |
SR-NASD-2004-121 |
34-50446 |
Sep. 24, 2004 |
Order Granting Approval of Proposed Rule Change and Amendment Nos. 1 and 2 to Include Failures to Timely Submit Amendments to Form U5 in Minor Rule Violation Plan |
34-50221 |
Aug. 19, 2004 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Include Failures to Submit Timely Amendments to Form U5 in Minor Rule Violation Plan
Comments due: September 15, 2004
Comments received
are available
for this notice.
|
SR-NASD-2004-119 |
34-50406 |
Sep. 16, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Regarding Fees for Orders and Quotes Executed in the Nasdaq Closing Cross
Comments due: October 14, 2004
|
SR-NASD-2004-118 |
34-50483 |
Oct. 1, 2004 |
Order Granting Approval of Proposed Rule Change Relating to the Introduction of an Extranet Access fee for Extranet Providers to Provide Direct Access Services for Nasdaq Market Data Feeds
|
34-50262 |
Aug. 25, 2004 |
Notice of Filing of Proposed Rule Change to Introduce an Extranet Access Fee for Extranet Providers to Provide Direct Access Services for Nasdaq Market Data Feeds
Comments due: September 22, 2004
Comments received
are available
for this notice.
|
SR-NASD-2004-117 |
34-50158 |
Aug. 5, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Extending the Operative Date for the Short-Sale ACT Reporting Requirements for Certain Securities
Comments due: September 2, 2004 |
SR-NASD-2004-116 |
34-50477 |
Sep. 30, 2004 |
Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change Relating to Supervisory Control and Inspection Procedures
Comments due: October 27, 2004
|
SR-NASD-2004-115 |
34-50144 |
Aug. 4, 2004 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Amendments to Reduce the Fee for the Regulatory Element of the Continuing Education Program
Comments due: September 2, 2004 |
SR-NASD-2004-114 |
34-50545 |
Oct. 14, 2004 |
Order Approving Proposed Rule Change, as Amended, Relating to Fees for Depth of Book Data in Exchange-Listed Securities in the Nasdaq Market Center
|
34-50304 |
Sep. 1, 2004 |
Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Fees for Depth of Book Data in Exchange-Listed Securities in the Nasdaq Market Center
Comments due: September 30, 2004
|
SR-NASD-2004-113 |
34-50119 |
Jul. 29, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change filed with the Commission to modify Nasdaq Market Center pricing.
Comments due: August 25, 2004 |
SR-NASD-2004-112 |
34-50097 |
Jul. 27, 2004 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Extend Its Pilot Program Relating to Price-Improvement Standards under the Manning Interpretation
Comments due: August 24, 2004 |
SR-NASD-2004-110 |
34-50926 |
Dec. 23, 2004 |
Order Approving a Proposed Rule Change, and Amendment Nos. 1, 2 and 3 Thereto Relating to Divestiture of Its Interest in the American Stock Exchange LLC
|
34-50403A |
Sep. 29, 2004 |
Notice of Filing of Proposed Rule Change Relating to Divestiture of American Stock Exchange; Correction
Comments due: October 14, 2004 |
34-50403 |
Sep. 16, 2004 |
Notice of Filing of Proposed Rule Change Relating to Divestiture of American Stock Exchange
Comments due: October 14, 2004
|
SR-NASD-2004-109 |
34-50458 |
Sep. 28, 2004 |
Order Granting Approval of Proposed Rule Change to Increase the Initial Inclusion Requirements for Certain Foreign Securities Seeking to List on the Nasdaq SmallCap Market |
34-50183 |
Aug. 11, 2004 |
Notice of Filing of Proposed Rule Change to Increase the Initial Inclusion Requirements for Certain Foreign Securities Seeking to List on the Nasdaq SmallCap Market
Comments due: September 8, 2004
|
SR-NASD-2004-108 |
34-50065 |
Jul. 22, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Treatment of Commodity Pool Trail Commissions
Comments due: August 20, 2004
Comments received
are available
for this notice.
|
SR-NASD-2004-107 |
34-50683 |
Nov. 17, 2004 |
Order Approving Proposed Rule Change Relating to Computer Generated Quoting in Exchange-Listed Securities
|
34-50478 |
Sep. 30, 2004 |
Notice of Filing of a Proposed Rule Change Relating to Computer Generated Quoting in Exchange-Listed Securities
Comments due: November 2, 2004
|
SR-NASD-2004-106 |
34-50038 |
Jul. 19, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Program Modifying Fees and Credits for Orders and Quotes Executed in the Nasdaq Closing Cross
Comments due: August 17, 2004 |
SR-NASD-2004-105 |
34-50573 |
Oct. 20, 2004 |
Order Granting Approval to Proposed Rule Change, and Amendment No.1 Thereto to Amend Rule 4350(n) and IM-4350-7 to Provide Time Frames for Foreign Issuers and Foreign Private Issuers to Disclose Certain Code of Conduct Waivers
|
34-50267 |
Aug. 26, 2004 |
Notice of Filing of Proposed Rule Change, and Amendment No.1 Thereto, to Amend Rule 4350(n) and IM-4350-7 to Provide Time Frames for Foreign Issuers and Foreign Private Issuers to Disclose Certain Code of Conduct Waivers
Comments due: September 22, 2004 |
SR-NASD-2004-103 |
34-50084 |
Jul. 26, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto to Modify the Methodology for Applying Nasdaq’s Pricing Schedule to Affiliated Members
Comments due: August 20, 2004 |
SR-NASD-2004-102 |
34-50325 |
Sep. 7 , 2004 |
Order Approving Proposed Rule Change to Establish a Fee for Company Profile Reports of OTCBB Issuers |
34-50037 |
Jul. 19, 2004 |
Notice of Filing of a Proposed Rule Change to Establish a Fee for Company Profile Reports of OTCBB Issuers
Comments due: August 17, 2004 |
SR-NASD-2004-101 |
34-50305 |
Sep. 1, 2004 |
Order Granting Approval of Proposed Rule Change to Provide a Monthly Flat Fee for the Internal Distribution of PostData as an Alternative to the Monthly Per-Subscriber Fees Presently Available Under NASD Rule 7010(s) |
34-50068 |
Jul. 23, 2004 |
Notice of Filing of Proposed Rule Change to Provide a Monthly Flat Fee for the Internal Distribution of PostData as an Alternative to the Monthly Per-Subscriber Fees Presently Available Under NASD Rule 7010(s)
Comments due: August 19, 2004 |
SR-NASD-2004-100 |
34-50099 |
Jul. 27, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Amend the Rule 9600 Series
Comments due: August 24, 2004 |
SR-NASD-2004-099 |
34-50149 |
Aug. 5, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Permitting ITS/CAES Market Makers to Use the Automatic Quote Refresh Functionality for ITS Securities
Comments due: September 2, 2004 |
SR-NASD-2004-098 |
34-50456 |
Sep. 27, 2004 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to Proposed Amendments to Eliminate Exemptions from the Continuing Education Regulatory Element Requirements |
34-50204 |
Aug. 16, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Proposed Amendments to Eliminate Exemptions from the Continuing Education Regulatory Element Requirements
Comments due: September 13, 2004 |
SR-NASD-2004-097 |
34-50140 |
Aug. 3, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Multiple Market Participant Identifiers for Exchange Listed Securities
Comments due: August 31, 2004 |
SR-NASD-2004-095 |
34-50157 |
Aug. 5, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting a Fingerprinting Program for NASD Employees and Independent Contractors in the State of New York, and, as Dictated by Business Need, in Other Jurisdictions
Comments due: September 2, 2004 |
SR-NASD-2004-094 |
34-50317 |
Sep. 3, 2004 |
Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to Proposed Amendments to TRACE Rule 6250 and Related TRACE Rules to Disseminate Transaction Information on Certain TRACE-Eligible Securities and Facilitate Dissemination of Such Information |
34-49920 |
Jun. 25, 2004 |
Notice of Filing of Proposed Rule Change Relating to Proposed Amendments to TRACE Rule 6250 and Related TRACE Rules to Disseminate Transaction Information on TRACE-Eligible Securities and Facilitate Dissemination
Comments due: July 23, 2004
Comments received
are available
for this notice.
|
SR-NASD-2004-093 |
34-49927 |
Jun. 28, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Establishing a Revised Effective Date for Amendments to the Order Audit Trail System Rules Relating to Execution Reports
Comments due: July 27, 2004 |
SR-NASD-2004-092 |
34-50217 |
Aug. 18, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment 1 Thereto Relating to Extension of Short Sale Rule and Continued Suspension of Primary Market Maker Standards Set Forth in Rule 4612
Comments due: September 15, 2004
| SR-NASD-2004-091 |
34-50091 |
Jul. 27, 2004 |
Order Granting Approval of Proposed Rule Change to Discontinue the Use of the Nasdaq NEWS Feature of the Nasdaq Workstation II, and to Provide a Different Standard for the Beginning and End of a Trading Halt
|
34-49898 |
Jun. 21, 2004 |
Notice of Filing of Proposed Rule Change to Discontinue the Use of the Nasdaq NEWS Feature of the Nasdaq Workstation II and to Provide a Different Standard for the Beginning and End of a Trading Halt
Comments due: July 16, 2004
|
SR-NASD-2004-090 |
34-50391 |
Sep. 15, 2004 |
Order Approving Proposed Rule Change and Amendment No. 1 thereto Relating to the Nasdaq Closing Cross |
34-50087 |
Jul. 26, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 thereto Relating to the Nasdaq Closing Cross
Comments due: August 23, 2004
|
SR-NASD-2004-089 |
34-52210 |
Aug. 4, 2005 |
Order Approving Proposed Rule Change to Require Limit Order Protection and to Expand the Application of Manning Obligations to Exchange-Listed Securities
|
34-51231 |
Feb. 18, 2005 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Proposed Amendments to Require Limit Order Protection and to Expand the Application of Manning Obligations to Exchange-Listed Securities
Comments due: March 18, 2005
|
SR-NASD-2004-087 |
34-49910 |
Jun. 24, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Technical Amendments to Section 4 of Schedule A to the NASD By-Laws and to Rule 10308(d) of the NASD Code of Arbitration Procedure
Comments due: July 21, 2004 |
SR-NASD-2004-086 |
34-49903 |
Jun. 22, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Clarify the Treatment of Certain Non-Preferential, Ordinary-Course Payments
Comments due: July 20, 2004 |
SR-NASD-2004-083 |
34-49796 |
Jun. 2, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Non-Standard Settlement Trades
Comments due: June 29, 2004 |
SR-NASD-2004-081 |
34-49746 |
May 20, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Unit Listing Standards.
Comments due: June 17, 2004 |
SR-NASD-2004-080 |
34-49901 |
Jun. 22, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto to Conform Certain Provisions of NASD Rules 4200 and 4350 to the Rules of Another Self-Regulatory Organization, and to Make Additional Revisions
Comments due: July 20, 2004 |
SR-NASD-2004-079 |
34-50199 |
Aug. 13, 2004 |
Order Granting Approval of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Provide for the Web Publication of Summaries of Interpretations Issued under NASD Rule 4550 |
34-49935 |
Jun. 29, 2004 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Provide for the Web Publication of Summaries of Interpretations Issued Under NASD Rule 4550
Comments due: July 27, 2004 |
SR-NASD-2004-078 |
34-50162 |
Aug. 6, 2004 |
Order Approving Proposed Rule Change to Establish Certain Qualification Requirements for Supervisors of Research Analysts |
34-49857 |
Jun. 15, 2004 |
Notice of Filing of Proposed Rule Change to Establish Certain Qualification Requirements for Supervisors of Research Analysts
Comments due: July 14, 2004 |
SR-NASD-2004-077 |
34-49905 |
Jun. 23, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto to Eliminate Certain Transaction Charges for ITS Securities
Comments due: July 21, 2004 |
SR-NASD-2004-076 |
34-50074 |
Jul. 23, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, and Amendments No. 1 and 2 thereto, to Rename Certain of NASDAQ’s Systems and to Make other Technical Corrections
Comments due: August 20, 2004
(
Text of proposed rules also available)
|
SR-NASD-2004-075 |
34-49872 |
Jun. 16, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Eliminate Certain Transaction Charges for ITS Securities
Comments due: July 14, 2004 |
SR-NASD-2004-074 |
34-50606 |
Oct. 29, 2004 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Clarify and Modify Market Maker Quote Re-Entry Obligations
|
34-50372 |
Sep. 14, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Clarify and Modify Market Maker Quote Re-Entry Obligations
Comments due: October 12, 2004
|
SR-NASD-2004-073 |
34-49667 |
May 7, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Change the Minimum Term for Selected Equity-linked Debt Securities
Comments due: June 4, 2004 |
SR-NASD-2004-072 |
34-49738 |
May 19, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Establish Fees for the Use of the Nasdaq Workstation II Service by NASD Members Via Digital Subscriber Lines
Comments due: June 16, 2004 |
SR-NASD-2004-071 |
34-50405 |
Sep. 16, 2004 |
Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Improved Nasdaq Opening Process |
34-49842 |
Jun. 9, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 thereto Regarding Improved Nasdaq Opening Process
Comments due: July 8, 2004
Comments received
are available
for this notice. |
SR-NASD-2004-070 |
34-49660 |
May 6, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit Shareholder Action by Written Consent
Comments due: June 2, 2004 |
SR-NASD-2004-069 |
34-49732 |
May 19, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Redesignate NASD Rules 4200A and 4350A
Comments due: June 15, 2004 |
SR-NASD-2004-068 |
34-49670 |
May 7, 2004 |
Notice of Filing and Order Granting Accelerated Approval of a proposed rule change relating to the listing and trading of Accelerated Return Notes linked to the Nikkei 225 Index.
Comments due: June 7, 2004 |
SR-NASD-2004-067 |
34-49648 |
May 3, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend NASD Rule 7010 to Modify the Charges Paid by Members Receiving Nasdaq’s Service for Trading Exchange-Listed Securities
Comments due: June 1, 2004 |
SR-NASD-2004-066 |
34-49604 |
Apr. 22, 2004 |
Notice of Filing of Proposed Rule Change Related to Direct ECN Connection to SuperMontage
Comments due: May 21, 2004 |
SR-NASD-2004-065 |
34-50176 |
Aug. 10, 2004 |
Order Approving Proposed Rule Change Regarding the Nasdaq Closing Cross
|
34-49783 |
May 27, 2004 |
Notice of Filing of Proposed Rule Change Regarding the Nasdaq Closing Cross
Comments due: June 25, 2004 |
SR-NASD-2004-064 |
34-49650 |
May 4, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Technical Corrections to the Supermontage Rules
Comments due: June 1, 2004 |
SR-NASD-2004-063 |
34-49622 |
Apr. 27, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify NASD Rule 4619 to Correct a Typographical Error
Comments due: May 25, 2004 |
SR-NASD-2004-062 |
34-49603 |
Apr. 22, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed to Modify the Pricing for Trading Nasdaq-Listed Securities on SuperMontage
Comments due: May 21, 2004 |
SR-NASD-2004-061 |
34-49715 |
May 17, 2004 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Listing and Trading of 97% Protected Notes Linked to the Global Equity Basket
Comments due: June 14, 2004 |
SR-NASD-2004-060 |
34-49534 |
Apr. 7, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Nasdaq Closing Cross
Comments due: May 4, 2004 |
SR-NASD-2004-059 |
34-49556 |
Apr. 12, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding an Interpretation to its Trade Through Rule for Exchange-Listed Securities
Comments due: May 11, 2004 |
SR-NASD-2004-058 |
34-50018 |
Jul. 14, 2004 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Partial Customer Account Transfers
Comments due: August 12, 2004 |
SR-NASD-2004-057 |
34-49854 |
Jun. 14, 2004 |
Order Granting Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Proposed Amendments to Reduce the Reporting Period for Transactions in TRACE-Eligible Securities
|
34-49607 |
Apr. 23, 2004 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Relating to Proposed Amendments to Reduce the Reporting Period for Transactions in TRACE-Eligible Securities
Comments due: May 20, 2004
Comments received
are available
for this notice.
|
SR-NASD-2004-056 |
34-49833 |
Jun. 8, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Short-Sale ACT Reporting Requirements
Comments due: July 8, 2004
Comments received
are available
for this notice.
|
SR-NASD-2004-055 |
34-49752 |
May 21, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto
Comments due: June 17, 2004 |
SR-NASD-2004-054 |
34-49512 |
Mar. 31, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Permanent the Current Pilot Program for the Imposition of a Fee for Written Interpretations of Nasdaq Listing Rules
Comments due: April 29, 2004
Comments received
are available
for this notice.
|
SR-NASD-2004-051 |
34-49597 |
Apr. 21, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendments No. 1 and No. 2 Thereto Relating to the Use of Summary Orders for NNMS Order-Delivery ECNs Using the SIZE MPID in SuperMontage
Comments due: May 19, 2004 |
SR-NASD-2004-049 |
34-49527 |
Apr. 2, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Examination and Development Fees in Connection with Series 86/87 Fees for Research Analysts
Comments due: May 5, 2004
|
SR-NASD-2004-048 |
34-49576 |
Apr. 16, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Create a Pilot Program Modifying SuperMontage Fees and Credits for Orders and Quotes Executed in the Nasdaq Closing Cross
Comments due: May 14, 2004 |
SR-NASD-2004-046 |
34-49547 |
Apr. 9, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 thereto Regarding SuperMontage Postable Auto-Ex Orders
Comments due: May 6, 2004 |
SR-NASD-2004-045 |
34-52226 |
Aug. 9, 2005 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto, and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 to the Proposed Rule Change, to Adopt NASD Rule 2111 to Prohibit Members from Trading Ahead of Customer Market Orders
|
34-51230 |
Feb. 18, 2005 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Adopt NASD Rule 2111 to Prohibit Members from Trading Ahead of Customer Market Orders
Comments due: March 18, 2005
Comments received
are available
for this notice.
|
SR-NASD-2004-044 |
34-53596 |
Apr. 4, 2006 |
Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 thereto Relating to Short Sale Delivery Requirements
|
34-52752A |
Nov. 17, 2005 |
Notice of Filing of Proposed Rule Change and Amendments Nos. 1 and 2 thereto Relating to Short Sale Delivery Requirements; Correction
Comments due: December 7, 2005
Comments received
are available
for this notice.
|
34-52752 |
Nov. 8, 2005 |
Notice of Filing of Proposed Rule Change and Amendments Nos. 1 and 2 thereto Relating to Short Sale Delivery Requirements
Comments due: 21 days after publication in the Federal Register
Comments received
are available
for this notice.
|
SR-NASD-2004-043 |
34-54103 |
Jul. 5, 2006 |
Order Approving a Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 4 to the Proposed Rule Change Relating to Disclosure of Fees and Expenses in Mutual Fund Performance Sales Material
Comments due: August 2, 2006
Comments received
are available
for this notice.
|
34-50226 |
Aug. 20, 2004 |
Notice of Filing of Proposed Rule Change Relating to Disclosure of Fees and Expenses in Mutual Fund Performance Sales Material
Comments due: September 17, 2004
Comments received
are available
for this notice.
|
SR-NASD-2004-042 |
34-51324 |
Mar. 7, 2005 |
Order Approving Proposed Rule Change Relating to Foreign Hearing Locations
|
34-51082 |
Jan. 26, 2005 |
Notice of Proposed Rule Change Relating to Foreign Hearing Locations
Comments due: February 24, 2005
|
SR-NASD-2004-040 |
34-49452 |
Mar. 26, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend, for an Additional Six-Month Period, a Pilot Rule Regaing Waiver of California Arbitrator Disclosure Standards
Comments due: April 21, 2004 |
SR-NASD-2004-039 |
34-50036 |
Jul. 19, 2004 |
Order Approving Proposed Rule Change to Reduce the Time for Chairperson Selection |
34-49852 |
Jun. 14, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Relating to Reducing the Time for Chairperson Selection
Comments due: July 9, 2004 |
SR-NASD-2004-037 |
34-49471 |
Mar. 25, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Revising the Pilot Relating to the Issuance of Market Participant Identifiers
Comments due: April 21, 2004 |
SR-NASD-2004-036 |
34-49663 |
May 6, 2004 |
Order Granting Approval of a Proposed Rule Change to Revise a Update the Fee Schedule for OTC Bulletin Board Historical Trading Activity Reports
|
34-49486 |
Mar. 26, 2004 |
Notice of Filing of a Proposed Rule Change to Modify NASD Rule 7010(p)(3) to Revise and Update the Fee Schedule for OTC Bulletin Board Historical Trading Activity Reports
Comments due: April 22, 2004
|
SR-NASD-2004-034 |
34-49733 |
May 19, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 thereto to Allow Members to Report Certain Trades Through SuperMontage
Comments due: June 16, 2004 |
SR-NASD-2004-033 |
34-51703 |
May 18, 2005 |
Order Approving a Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto Seeking to Modify the Nasdaq Market Center Execution Service to Add an Optional Routing Feature
|
34-51504 |
Apr. 7, 2005 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto Seeking to Modify the Nasdaq Market Center Execution Service to Add an Optional Routing Feature
Comments due: May 4, 2005
|
SR-NASD-2004-032 |
34-49427 |
Mar. 16, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto to Modify NASD Rule 4619 with Respect to Certain Excused Withdrawal Requests
Comments due: April 13, 2004
|
SR-NASD-2004-031 |
34-49285 |
Feb. 20, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Establishing an Effective Date For NASD Rule 3370, Affirmative Determination Requirements
Comments received
are available
for this notice.
|
SR-NASD-2004-027 |
34-50883 |
Dec. 20, 2004 |
Order Approving Proposed Rule Change Relating to Investment Company Portfolio Transactions
|
34-50611 |
Oct. 29, 2004 |
Notice of Filing of Proposed Rule Change Relating to Investment Company Portfolio Transactions
Comments due: November 26, 2004
Comments received
are available
for this notice.
|
SR-NASD-2004-026 |
34-54339 |
Aug. 21, 2006 |
Order Approving Proposed Rule Change as Modified by Amendment Nos. 1-5 to Amend NASD Rule 2320(a) Governing Best Execution
Comments received
are available
for this notice.
|
34-52637 |
Oct. 19, 2005 |
Notice of Filing of Amendments No. 3 and 4 to Proposed Rule Change to Amend NASD Rule 2320(a) Governing Best Execution
Comments due: November 16, 2005
Comments received
are available
for this notice.
|
34-51229 |
Feb. 18, 2005 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Amend NASD Rule 2320(a) Governing Best Execution
Comments due: March 18, 2005
Comments received
are available
for this notice.
|
SR-NASD-2004-025 |
34-52294 |
Aug. 18, 2005 |
Order Approving Proposed Rule Change to Amend NASD's Minor Rule Violation Plan
|
34-51994 |
Jul. 7, 2005 |
Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 Thereto to Amend NASD's Minor Rule Violation Plan
Comments due: August 4, 2005
Comments received
are available
for this notice.
|
SR-NASD-2004-023 |
34-49628 |
Apr. 29, 2004 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Amend the Order Audit Trail System Rules Relating to Execution Reports |
34-49439 |
Mar. 17, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Amend Order Audit Trail System Rules Relating to Execution Reports
Comments due: April 14, 2004 |
SR-NASD-2004-022 |
34-50749 |
Nov. 29, 2004 |
Notice of Filing of Proposed Rule Change Relating to the Corporate Financing Rule and Shelf Offerings of Securities
Comments due: January 21, 2005
Comments received
are available
for this notice.
|
SR-NASD-2004-021 |
34-50059 |
Jul. 22, 2004 |
Order Granting Approval to Proposed Rule Change and Amendment No. 1 Thereto Relating to Reporting of Cancelled Trades
|
34-49844 |
Jun. 10, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Reporting of Cancelled Trades
Comments due: July 8, 2004 |
SR-NASD-2004-020 |
34-49464 |
Mar. 24, 2004 |
Order Granting Accelerated Approval of Proposed Rule Changes by the New York Stock Exchange, Inc. and the National Association of Securities Dealers, Inc. Relating to Certain Prerequisites to and Exemptions from Taking the Research Analyst Qualification Examination ("Series 86/87") |
34-49314 |
Feb. 24, 2004 |
Notice of Filing of Proposed Rule Changes by the New York Stock Exchange, Inc. and the National Association of Securities Dealers, Inc. Relating to Certain Prerequisites to and Exemptions from Taking the Research Analyst Qualification Examination ("Series 86/87")
File No.: SR-NYSE-2004-03
Comments received
are available
for this notice.
|
SR-NASD-2004-018 |
34-49535 |
Apr. 7, 2004 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Amend the Procedures for the Review of Nasdaq Listing Determinations
Comments due: May 5, 2004 |
SR-NASD-2004-016 |
34-49876 |
Jun. 16, 2004 |
Order Granting Approval of Proposed Rule Change Relating to Implementation of a Web-based Arbitration Claim Notification and Filing Procedure
|
34-49673 |
May 10, 2004 |
Notice of Filing of Proposed Rule Change Relating to Implementation of a Web-based Arbitration Claim Notification and Filing Procedure
Comments due: June 4, 2004 |
SR-NASD-2004-013 |
34-52705 |
Oct. 31, 2005 |
Order Granting Approval to Proposed Rule Change and Amendments Nos. 1 and 2 Thereto, and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3, to Amend NASD Rules for Mediation Proceedings
|
34-51855 |
Jun. 15, 2005 |
Notice of Filing of Proposed Rule Change and Amendments Nos. 1 and 2 Thereto to Amend NASD Arbitration Rules for Mediation Proceedings
Comments due: July 14, 2005
|
SR-NASD-2004-011 |
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
Comments received
are available
for this notice.
|
34-51857 |
Jun. 15, 2005 |
Notice of Filing of Proposed Rule Change and Amendments Nos. 1, 2, 3, and 4 Thereto to Amend NASD Arbitration Rules for Industry Disputes
Comments due: July 14, 2005
Comments received
are available
for this notice.
|
SR-NASD-2004-009 |
34-52141 |
Jul. 27, 2005 |
Order Granting Approval of Proposed Rule Change and Amendment Nos. 1, 2, 3, 4, and 5 Thereto to Modify Nasdaq’s Clearly Erroneous Rule
|
34-51722 |
May 20, 2005 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, 3, and 4 Thereto to Modify Nasdaq’s Clearly Erroneous Rule
|
SR-NASD-2004-06 |
34-49106 |
Jan. 20, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Entry of Locking or Crossing Bids or Offers by ECNs Participating in Nasdaq's SuperMontage System
Comments received
are available
for this notice.
|
SR-NASD-2004-05 |
34-49081 |
Jan. 14, 2004 |
Notice of Filing of Proposed Rule Change to Amend NASD Rule 2370 Relating to Certain Lending Arrangements Between Registered Persons and Customers
Comments received
are available
for this notice.
|
SR-NASD-2004-002 |
34-50218 |
Aug. 18, 2004 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Thereto to Require an NASD Market Participant to Provide Written Notice Before Denying any NASD Member Direct Electronic Access to its Quote in the ADF
Comments due: September 14, 2004 |
SR-NASD-2004-01 |
34-49875 |
Jun. 16, 2004 |
Order Granting Approval of Proposed Rule Change Relating to Arbitrator Training Fees
|
34-49674 |
May 10, 2004 |
Notice of Filing of Proposed Rule Change Relating to Arbitrator Training Fee
Comments due: June 4, 2004 |
http://www.sec.gov/rules/sro/nasd/nasdarchive/nasdarchive2004.shtml
|