National Association of Securities Dealers (NASD) Rulemaking
We encourage the public to submit comments on the following filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.
| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-54461 | Sep 15, 2006 | SR-NASD-2006-106 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Market/Limit-on-Open Orders Sent to the American Stock Exchange or New York Stock Exchange |
| 34-54456 | Sep 15, 2006 | SR-NASD-2006-064 | National Association of Securities Dealers (NASD) | Order Approving a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Extension of Time Requests View Received Comments See Also - Rel. No. 34-54265 |
| 34-54411 | Sep 7, 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. 34-54411A, Rel. No. 34-51181 |
| 34-54376 | Aug 28, 2006 | SR-NASD-2006-093 | National Association of Securities Dealers (NASD) | Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Regarding Pricing for Non-Members Using Nasdaq's Brut and Inet Facilities |
| 34-54375 | Aug 28, 2006 | SR-NASD-2006-092 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Pricing Schedule for NASD Members Using the ITS/CAES System, Brut, and Inet To Trade Securities Not Listed on The NASDAQ Stock Market LLC |
| 34-54360 | Aug 24, 2006 | SR-NASD-2006-088 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change Relating to Motions To Decide Claims Before a Hearing on the Merits View Received Comments |
| 34-54353 | Aug 23, 2006 | SR-NASD-2006-090 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Regarding Fees and Credits for the NASD/Nasdaq Trade Reporting Facility and To Adopt a Transaction Credit Program for Securities Listed on the Nasdaq Stock Market |
| 34-54339 | Aug 21, 2006 | SR-NASD-2004-026 | National Association of Securities Dealers (NASD) | Order Approving Proposed Rule Change as Modified by Amendment Nos. 1-5 To Amend NASD Rule 2320(a) Governing Best Execution View Received Comments See Also - Rel. No. 34-52637, Rel. No. 34-51229 |
| 34-54334 | Aug 18, 2006 | SR-NASD-2006-097 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Program That Increases Position and Exercise Limits for Certain Equity Options |
| 34-54319 | Aug 15, 2006 | SR-NASD-2006-060 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change To Require Members To File Regulatory Notices With NASD Electronically View Received Comments See Also - Rel. No. 34-54654, Rel. No. 34-54319A |