National Association of Securities Dealers (NASD) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-50823 | Dec 8, 2004 | SR-NASD-2004-168 | National Association of Securities Dealers (NASD) | Notice of Filing of and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Certificate of Designation for Preferred Stock of The Nasdaq Stock Market, Inc. |
| 34-50822 | Dec 8, 2004 | SR-NASD-2004-175 | 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 Repeal of Existing NASD Short Sale Rules in Light of SEC Regulation SHO View Received Comments |
| 34-50787 | Dec 2, 2004 | SR-NASD-2004-170 | National Association of Securities Dealers (NASD) | Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc. To Establish Combined Nasdaq Market Center and Brut Pricing for Non-NASD Members |
| 34-50740 | Nov 29, 2004 | SR-NASD-2004-140 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Eliminate Entry and Application Fees for Exchange-Listed Issuers Transferring Listings to Nasdaq See Also - Rel. No. 34-51005 |
| 34-50748 | Nov 29, 2004 | SR-NASD-2004-153 | National Association of Securities Dealers (NASD) | Order Approving Proposed Rule Change by the National Association of Securities Dealers, Inc. To Provide a Delta Hedge Exemption From Stock Option Position Limits for OTC Derivatives Dealers Affiliated With NASD Member Firms When Certain Conditions Are Satisfied See Also - Rel. No. 34-50539 |
| 34-50741 | Nov 29, 2004 | SR-NASD-2004-142 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Establish Fees for Companies With a Dual Listing on the New York Stock Exchange and Nasdaq See Also - Rel. No. 34-51005 |
| 34-50749 | Nov 29, 2004 | SR-NASD-2004-022 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to the Corporate Financing Rule and Shelf Offerings of Securities View Received Comments |
| 34-50753 | Nov 29, 2004 | SR-NASD-2004-147 | National Association of Securities Dealers (NASD) | Order Granting Accelerated Approval to Amendment No. 1 To Modify the Bid Price Compliance Periods on the Nasdaq National Market and SmallCap Market and To Require Non-Canadian Foreign Issuers To Satisfy the Bid Price and Market Value of Publicly Held Shares Requirements Applicable to Domestic Issuers for Continued Listing on the SmallCap Market See Also - Rel. No. 34-50541 |
| 34-50724 | Nov 23, 2004 | SR-NASD-2004-132 | National Association of Securities Dealers (NASD) | Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Listing and Trading of Accelerated Return Notes Linked to the Russell 2000 Index |
| 34-50714 | Nov 22, 2004 | SR-NASD-2003-101 | National Association of Securities Dealers (NASD) | Order Granting Approval to Proposed Rule Change, and Notice of Filing and Order Granting Accelerated Approval to Amendments No. 1 and 2 Thereto Relating to Time Limits for Submission of Claims in Arbitration View Received Comments See Also - Rel. No. 34-48225 |