National Association of Securities Dealers (NASD) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-54952 | Dec 18, 2006 | SR-NASD-2006-039 | National Association of Securities Dealers (NASD) | Order Granting Approval to Proposed Rule Change and Amendment Nos. 1 and 2 Thereto To Amend NASD Rules To Modify and Expand NASD's Authority To Initiate Trading and Quotation Halts in OTC Equity Securities View Received Comments See Also - Rel. No. 34-53920 |
| 34-54934 | Dec 13, 2006 | SR-NASD-2006-130 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Extend a Pricing Pilot for NASD Members Using ITS/CAES and Inet |
| 34-54932 | Dec 13, 2006 | SR-NASD-2006-132 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Pricing for NASD Members Using ITS/CAES and Inet |
| 34-54931 | Dec 13, 2006 | SR-NASD-2006-115 | National Association of Securities Dealers (NASD) | Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change, as Amended, Relating to an NASD Trade Reporting Facility Established in Conjunction With the Boston Stock Exchange View Received Comments See Also - Rel. No. 34-54591 |
| 34-54909 | Dec 11, 2006 | SR-NASD-2006-129 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Use of a Special Indicator for Transactions Reported in Accordance With Section 3 of Schedule A to the NASD By-Laws |
| 34-54901 | Dec 8, 2006 | SR-NASD-2006-126 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Integrate Brut and INET Facilities |
| 34-54872 | Dec 5, 2006 | SR-NASD-2006-128 | National Association of Securities Dealers (NASD) | Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Establishing an Effective Date for Amendments to NASD Rule 2340 View Received Comments |
| 34-54871 | Dec 5, 2006 | SR-NASD-2006-124 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change Relating to Proposed Rule 2342 Requiring Members To Provide New Customers, and All Customers Annually, Specific Information About the Securities Investor Protection Corporation ("SIPC") View Received Comments See Also - Rel. No. 34-55737 |
| 34-54873 | Dec 5, 2006 | SR-NASD-2006-123 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Regarding Guidance for Adjudicating Clearly Erroneous Transactions Under NASD Rule 11890 |
| 34-54857 | Dec 1, 2006 | SR-NASD-2006-101 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Provide for the Payment of a $200 Honorarium Per Case for Each Arbitrator Who Considers Contested Motions for the Issuance of Subpoenas See Also - Rel. No. 34-55108 |