National Association of Securities Dealers (NASD) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-67867 | Sep 14, 2012 | SR-NASD-2005-100 | National Association of Securities Dealers (NASD) | Notice of Withdrawal of Proposed Rule Change and Amendments Nos. 1, 2, 3 and 4 Thereto, To Require Members To Provide Customers in TRACE-Eligible Debt Securities With Additional, Transaction-Specific Disclosures and To Notify Customers of the Availability of a Disclosure Document View Received Comments See Also - Rel. No. 34-56661 |
| 34-63010 | Sep 29, 2010 | SR-NASD-2003-140 | National Association of Securities Dealers (NASD) | 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 ("IPOs") View Received Comments See Also - Rel. No. 34-61690, Rel. No. 34-51039, and Rel. No. 34-50896 |
| 34-61690 | Mar 11, 2010 | SR-NASD-2003-140 | National Association of Securities Dealers (NASD) | 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") View Received Comments See Also - Rel. No. 34-51039, and Rel. No. 34-50896, Rel. No. 34-63010 |
| 34-58532 | Sep 12, 2008 | SR-NASD-2007-041 | National Association of Securities Dealers (NASD) | Order Approving Proposed Rule Change, as Modified by Amendment No. 2, To Amend the Minimum Price-Improvement Standards Set Forth in NASD Interpretive Material ("IM") 2110-2 View Received Comments See Also - Rel. No. 34-58114, Rel. No. 34-56297 |
| 34-58114 | Jul 7, 2008 | SR-NASD-2007-041 | National Association of Securities Dealers (NASD) | Notice of Filing of Amendment No. 2 to Proposed Rule Change To Amend the Minimum Price-Improvement Standards Set Forth in NASD Interpretive Material (IM) 2110-2 View Received Comments See Also - Rel. No. 34-58532, Rel. No. 34-56297 |
| 34-57964 | Jun 13, 2008 | SR-NASD-2006-005 | National Association of Securities Dealers (NASD) | Order Approving Proposed Rule Change and Amendment No. 1 Thereto To Expand the Scope of NASD Rule 2440 and Interpretive Material 2440-1 Relating to Fair Prices and Commissions To Apply to All Securities Transactions View Received Comments See Also - Rel. No. 34-53562 |
| 34-56145A | May 30, 2008 | SR-NASD-2007-023 | National Association of Securities Dealers (NASD) | Order Approving Proposed Rule Change To Amend the By-Laws of NASD To Implement Governance and Related Changes To Accommodate the Consolidation of the Member Firm Regulatory Functions of NASD and NYSE Regulation, Inc. View Received Comments See Also - Rel. No. 34-56145 |
| 34-57803 | May 8, 2008 | SR-NASD-2005-114 | National Association of Securities Dealers (NASD) | Order Granting Accelerated Approval to Amendment No. 5 Relating to the Regulation of Compensation, Fees and Expenses in Public Offerings of Real Estate Investment Trusts and Direct Participation Programs View Received Comments See Also - Rel. No. 34-57199, Rel. No. 34-54118 |
| 34-57786 | May 6, 2008 | SR-NASD-2007-052 | National Association of Securities Dealers (NASD) | Order Approving Proposed Rule Change as Modified by Amendment No. 1, Relating to Amendments to the NASD Rule 9700 Series To Streamline the Procedural Rules Applicable to General Grievances Related to FINRA Automated Systems See Also - Rel. No. 34-57504 |
| 34-57764 | May 1, 2008 | SR-NASD-2007-043 | National Association of Securities Dealers (NASD) | Order Approving Proposed Rule Change as Modified by Amendment No. 1 Thereto To Amend NASD Rule 7001C To Increase the Percentage of Market Data Revenue Shared With NASD/NSX TRF Participants View Received Comments See Also - Rel. No. 34-56752 |