National Association of Securities Dealers (NASD) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 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 |
| 34-54616 | Oct 17, 2006 | SR-NYSE-2006-77, SR-NASD-2006-112 | New York Stock Exchange LLC (NYSE), National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to NYSE Rule 472 and NASD Rule 2711 View Received Comments |
| 34-54607 | Oct 16, 2006 | SR-NASD-2005-094 | National Association of Securities Dealers (NASD) | Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to the Classification of Arbitrators Pursuant To Rule 10308 of the NASD Code of Arbitration Procedure View Received Comments See Also - Rel. No. 34-52332 |
| 34-54591 | Oct 12, 2006 | SR-NASD-2006-115 | National Association of Securities Dealers (NASD) | Notice of Filing of a Proposed Rule Change Relating to a New NASD Trade Reporting Facility Established in Conjunction With the Boston Stock Exchange View Received Comments See Also - Rel. No. 34-54931 |
| 34-54585 | Oct 10, 2006 | SR-NASD-2005-101 | National Association of Securities Dealers (NASD) | Order Granting Accelerated Approval to Amendment No. 1 Thereto Relating to Expansion of OATS Reporting Requirements to OTC Equity Securities View Received Comments See Also - Rel. No. 34-52581 |
| 34-54411A | Oct 6, 2006 | SR-NASD-2004-171 | National Association of Securities Dealers (NASD) | Order Approving Proposed Rule Change Relating to Rule 2340 Concerning Customer Account Statements View Received Comments See Also - Rel. No. 34-54411, Rel. No. 34-51181 |
| 34-54566 | Oct 3, 2006 | SR-NASD-2006-066 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change To Allow Certain Institutional Customers To Elect Not To Receive Account Statements View Received Comments See Also - Rel. No. 34-54811 |
| 34-54562 | Oct 3, 2006 | SR-NASD-2006-111 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amending the Citation to Section 19 of the Securities Exchange Act in NASD Rule 9559 |
| 34-54558 | Oct 2, 2006 | SR-NASD-2006-076 | National Association of Securities Dealers (NASD) | Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Exempt All Securities Included in the Nasdaq-100 Index From the Price Test Set Forth in NASD Rule 5100 See Also - Rel. No. 34-54010 |
| 34-54537 | Sep 28, 2006 | SR-NASD-2006-091 | National Association of Securities Dealers (NASD) | Order Granting Accelerated Approval to Amendment No. 3 Thereto to Align NASD Rules With Regulation NMS See Also - Rel. No. 34-54277, Amendment No. 3 |