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 |
|---|---|---|---|---|
| 34-51171 | Feb 9, 2005 | SR-NASD-2005-016 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for the Nasdaq Information Exchange Protocol |
| 34-51123 | Feb 2, 2005 | SR-NASD-2004-169 | National Association of Securities Dealers (NASD) | Order Granting Approval to Proposed Rule Change and Amendment No. 3 Thereto To Adopt Additional Listing Standards Applicable to the Securities of the Nasdaq Stock Market, Inc. or an Affiliate See Also - Rel. No. 34-50897 |
| 34-51092 | Jan 28, 2005 | SR-NASD-2004-159 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change To Allow NASD To Review on a Pilot Basis Denial of Access Complaints Related to the Alternative Display Facility See Also - Rel. No. 34-51356 |
| 34-51097 | Jan 28, 2005 | SR-NASD-2005-007 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to a Proposal to Adopt a New IM-10308 on Mediators Serving as Arbitrators View Received Comments See Also - Rel. No. 34-51097 |
| 34-51083 | Jan 26, 2005 | SR-NASD-2004-164 | National Association of Securities Dealers (NASD) | Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto by National Association of Securities Dealers, Inc. Relating to the Random Selection of Arbitrators by the Neutral List Selection System View Received Comments See Also - Rel. No. 34-51339 |
| 34-51082 | Jan 26, 2005 | SR-NASD-2004-042 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Foreign Hearing Locations See Also - Rel. No. 34-51324 |
| 34-51078 | Jan 25, 2005 | SR-NASD-2004-173 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc., To Establish Rules Governing the Operation of Nasdaq's Brut Facility See Also - Rel. No. 34-51326 |
| 34-51075 | Jan 24, 2005 | SR-NASD-2004-179 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Amendments to Section 13 of Schedule A to the NASD By-Laws (Review Charge for Advertisement, Sales Literature, and Other Such Material Filed With or Submitted to NASD) |
| 34-51039 | Jan 14, 2005 | SR-NYSE-2004-12, SR-NASD-2003-140 | New York Stock Exchange LLC (NYSE), National Association of Securities Dealers (NASD) | Notice of Extension of the Comment Period for the Proposed Rule Changes by the New York Stock Exchange, Inc. and the National Association of Securities Dealers, Inc. Relating to the Prohibition of Certain Abuses in the Allocation and Distribution of Shares in Initial Public Offerings View Received Comments See Also - and Rel. No. 34-50896, Rel. No. 34-63010, Rel. No. 34-61690 |
| 34-51025 | Jan 11, 2005 | SR-NASD-2005-01 | National Association of Securities Dealers (NASD) | Notice of a Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Changes to Rule 3360 in Light of the SEC Regulation SHO |