National Association of Securities Dealers (NASD) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-54728 | Nov 8, 2006 | SR-NASD-2006-114 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt an Automated Process for Opening Quotations of ITS/CAES Market Makers |
| 34-54715 | Nov 6, 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. View Received Comments See Also - Rel. No. 34-54715A, Rel. No. 34-54479 |
| 34-54705 | Nov 3, 2006 | SR-NASD-2005-146 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 Thereto To Expand the Scope of IM-2110-2 Relating To Trading Ahead of Customer Limit Orders To Apply to All OTC Equity Securities View Received Comments See Also - Rel. No. 34-55351 |
| 34-54702 | Nov 3, 2006 | SR-NASD-2006-121 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASD Rule 11890(b)(2) To Allow NASD To Designate Officers To Take Action Under the Rule With Respect to Clearly Erroneous Transactions |
| 34-54695 | Nov 2, 2006 | SR-NASD-2006-116 | 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 |
| 34-54681 | Nov 1, 2006 | SR-NASD-2006-103 | National Association of Securities Dealers (NASD) | Notice of Filing of a Proposed Rule Change Relating to TRACE Requirements in Connection With the Exercise or Settlement of Options, Swaps, or Similar Instruments View Received Comments |
| 34-54654 | Oct 26, 2006 | SR-NASD-2006-060 | National Association of Securities Dealers (NASD) | Order Approving Proposed Rule Change To Require Members To File Regulatory Notices With NASD Electronically View Received Comments See Also - Rel. No. 34-54319A, Rel. No. 34-54319 |
| 34-54650 | Oct 25, 2006 | SR-NASD-2004-130 | National Association of Securities Dealers (NASD) | 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) View Received Comments See Also - Rel. No. 34-56004 |
| 34-54651 | Oct 25, 2006 | SR-NASD-2006-119 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Enhance the Flexibility of Nasdaq's INET Facility Order Routing Process for Reactive Only DOT Orders That Currently Are Ultimately Directed to the New York Stock Exchange or the American Stock Exchange |
| 34-54617 | Oct 17, 2006 | SR-NASD-2006-118 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Date by Which Eligible Registrants Must Complete Firm-Element Continuing Education To Qualify To Engage in a Security Futures Business |