National Association of Securities Dealers (NASD) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-50916 | Dec 22, 2004 | SR-NASD-2004-188 | National Association of Securities Dealers (NASD) | Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to the Listing and Trading of Performance Leveraged Upside Securities Based on the Value of the Index |
| 34-50897 | Dec 21, 2004 | SR-NASD-2004-169 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change To Adopt Additional Listing Standards Applicable to the Securities of the Nasdaq Stock Market, Inc. or an Affiliate See Also - Rel. No. 34-51123 |
| 34-50893 | Dec 20, 2004 | SR-NASD-2004-176 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Extend an Existing Pilot Relating to Manning Price-Improvement Standards |
| 34-50883 | Dec 20, 2004 | SR-NASD-2004-027 | National Association of Securities Dealers (NASD) | Order Approving Proposed Rule Change by NASD, Inc., Relating to Investment Company Portfolio Transactions View Received Comments See Also - Rel. No. 34-50611 |
| 34-50896 | Dec 20, 2004 | SR-NYSE-2004-12, SR-NASD-2003-140 | New York Stock Exchange LLC (NYSE), National Association of Securities Dealers (NASD) | Notice of Filing of 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 ("IPOs") View Received Comments See Also - Rel. No. 34-51039, Rel. No. 34-63010, Rel. No. 34-61690 |
| 34-50862 | Dec 15, 2004 | SR-NASD-2004-150 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment 1 Thereto by the National Association of Securities Dealers, Inc. Relating to an Interpretation of Rule 3350 |
| 34-50860 | Dec 15, 2004 | SR-NASD-2004-166 | National Association of Securities Dealers (NASD) | Order Granting Approval to Proposed Rule Change Modifying the Other Securities Fee Schedule See Also - Rel. No. 34-50629 |
| 34-50848 | Dec 14, 2004 | SR-NASD-2004-133 | National Association of Securities Dealers (NASD) | Order Granting Approval of Proposed Rule Change To Amend NASD Rule 9522 ("Initiation of Eligibility Proceeding; Member Regulation Consideration") To Give Member Regulation the Authority To Approve the MC-400 Applications of Statutorily Disqualified Persons Who Will Be Engaged Solely in Clerical and/or Ministerial Activities See Also - Rel. No. 34-50626 |
| 34-50845 | Dec 13, 2004 | SR-NASD-2004-181 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change by National Association of Securities Dealers, Inc. Concerning Modifications to the Nasdaq Market Center Execution Service View Received Comments |
| 34-50838 | Dec 10, 2004 | SR-NASD-2004-128 | National Association of Securities Dealers (NASD) | Order Granting Approval of Proposed Rule Change To Modify the Annual Fee for Certain Issuers Listed on the Nasdaq Stock Market, Inc. View Received Comments See Also - Rel. No. 34-50577 |