National Association of Securities Dealers (NASD) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-54811 | Nov 22, 2006 | SR-NASD-2006-066 | National Association of Securities Dealers (NASD) | Order Approving Proposed Rule Change and Amendment No. 1 Thereto To Allow Certain Institutional Customers To Elect Not To Receive Account Statements View Received Comments See Also - Rel. No. 34-54566 |
| 34-54798 | Nov 21, 2006 | SR-NASD-2006-104 | National Association of Securities Dealers (NASD) | Order Granting Accelerated Approval to Amendment No. 2 Thereto To Reflect Nasdaq's Complete Separation From the NASD Upon the NASDAQ Stock Market LLC's Operation as a National Securities Exchange for Non-Nasdaq Exchange-Listed Securities See Also - Rel. No. 34-54451 |
| 34-54799 | Nov 21, 2006 | SR-NASD-2003-141 | National Association of Securities Dealers (NASD) | Notice of Filing of Amendment Nos. 3, 4, and 5 to a Proposed Rule Change Relating to Additional Mark-Up Policy for Transactions in Debt Securities, Except Municipal Securities View Received Comments See Also - Rel. No. 34-55638, Rel. No. 34-51338 |
| 34-54778 | Nov 17, 2006 | SR-NASD-2006-127 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New NASD Rule 7000C Series Relating to Fees and Credits for the Trade Reporting Facility Established by NASD and the National Stock Exchange (NASD/NSX TRF) |
| 34-54773 | Nov 17, 2006 | SR-NASD-2006-120 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Extend the Hours of Operation of the NASD/Nasdaq TRF, the OTC Reporting Facility and the Trade Reporting of Non-Nasdaq Exchange-Listed Securities Under the NASD Rule 6400 Series |
| 34-54768 | Nov 16, 2006 | SR-NASD-2006-110 | National Association of Securities Dealers (NASD) | Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto to Establish a Two-Year Pilot Program Exempting from TRACE Reporting Transactions in Bonds Traded on a Facility of NYSE View Received Comments |
| 34-54755 | Nov 15, 2006 | SR-NASD-2006-007 | National Association of Securities Dealers (NASD) | Order Approving Proposed Rule Change Relating to Option Position and Exercise Limits and Position Reporting Obligations; and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 Thereto View Received Comments See Also - Rel. No. 34-53189 |
| 34-54715A | Nov 14, 2006 | SR-NASD-2006-108 | National Association of Securities Dealers (NASD) | Order Granting Accelerated Approval of Amendment No. 1 to a Proposed Rule Change Relating to an NASD Trade Reporting Facility Established in Conjunction With the National Stock Exchange, Inc.; Corrrection View Received Comments See Also - Rel. No. 34-54715, Rel. No. 34-54479 |
| 34-54742 | Nov 13, 2006 | SR-NASD-2006-122 | 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, Brut, and Inet |
| 34-54740 | Nov 9, 2006 | SR-NASD-2006-073 | National Association of Securities Dealers (NASD) | Order Granting Accelerated Approval To Amendment No. 2 To Amend NASD Interpretive Material 2210-4 To Require Certain Member Firms to Provide a Hyperlink to the NASD's Internet Home Page View Received Comments See Also - Rel. No. 34-54058 |