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NASD Rulemaking Archive: 2010

As of July 30, 2007, NASD is now known as Financial Industry Regulatory Authority (FINRA) and new rule proposals will be listed under FINRA.

We encourage the public to submit comments on the following 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
Third Quarter | Second Quarter | First Quarter

Additional Archives


Chronological List
Release No. Date Details
Third Quarter

SR-NASD-2003-140
34-63010 Sep. 29, 2010 Notice of Filing of Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 through 4, Relating to the Prohibition of Certain Abuses in the Allocation and Distribution of Shares in Initial Public Offerings
Comments due:  October 26, 2010
See also:  Notice: Rel. No. 34-61690; Notice: Rel. No. 34-51039; Notice: Rel. No. 34-50896
Second Quarter
No proposals were posted to website.
First Quarter

SR-NASD-2003-140
34-61690 Mar. 11, 2010 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 3, Relating to the Prohibition of Certain Abuses in the Allocation and Distribution of Shares in Initial Public Offerings ("IPOs")
Comments due:  April 8, 2010
See also:  Notice/Order: Rel. No. 34-63010; Notice: Rel. No. 34-51039; Notice: Rel. No. 34-50896
Comments received are available for this notice.

 

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


Modified: 04/09/2014