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 |
|---|---|---|---|---|
| 34-54244 | Jul 31, 2006 | SR-NASD-2006-085 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 39 Examination Program |
| 34-54243 | Jul 31, 2006 | SR-NASD-2006-084 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 28 Examination Program |
| 34-54242 | Jul 31, 2006 | SR-NASD-2006-083 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 27 Examination Program |
| 34-54245 | Jul 31, 2006 | SR-NASD-2006-086 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 55 Examination Program |
| 34-54217 | Jul 26, 2006 | SR-NASD-2006-011 | National Association of Securities Dealers (NASD) | Order Approving a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Principal Pre-Use Approval of Member Correspondence to 25 or More Existing Retail Customers Within a 30 Calendar-Day Period View Received Comments See Also - Rel. No. 34-53333 |
| 34-54214 | Jul 26, 2006 | SR-NASD-2006-082 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 22 Examination Program |
| 34-54203 | Jul 25, 2006 | SR-NASD-2006-089 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASD Rule 5100 (Short Sale Rule) |
| 34-54186 | Jul 20, 2006 | SR-NASD-2006-081 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change To Adopt New NASD Rule 5150 Relating to Trade-Throughs See Also - Rel. No. 34-54471 |
| 34-54160 | Jul 17, 2006 | SR-NASD-2006-057 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Regarding the Pricing Schedule for NASD Members Using the Nasdaq Market Center and Nasdaq's Brut and INET Facilities |
| 34-54159 | Jul 17, 2006 | SR-NASD-2006-058 | National Association of Securities Dealers (NASD) | Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto Regarding Pricing for Non-Members Using the Nasdaq Market Center and Nasdaq's Brut and INET Facilities |