National Association of Securities Dealers (NASD) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-50477 | Sep 30, 2004 | SR-NASD-2004-116 | National Association of Securities Dealers (NASD) | Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change and Amendment No. 1 by National Association of Securities Dealers, Inc. Relating to Supervisory Control and Inspection Procedures |
| 34-50478 | Sep 30, 2004 | SR-NASD-2004-107 | National Association of Securities Dealers (NASD) | Notice of Filing of a Proposed Rule Change Relating to Computer Generated Quoting in Exchange-Listed Securities See Also - Rel. No. 34-50683 |
| 34-50468 | Sep 29, 2004 | SR-NASD-2004-144 | National Association of Securities Dealers (NASD) | Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change by the National Association of Securities Dealers, Inc., Relating to the Listing and Trading of Theravance, Inc., Common Stock |
| 34-50403A | Sep 29, 2004 | SR-NASD-2004-110 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Divestiture of American Stock Exchange; Correction See Also - Rel. No. 34-50403A, Rel. No. 34-50403 |
| 34-50463 | Sep 28, 2004 | SR-NASD-2003-13 | National Association of Securities Dealers (NASD) | Order Granting Accelerated Approval of Amendment Nos. 2 and 3 to Adopt New Interpretive Material to NASD Rule 2210(d)(2)(N) to Allow NASD Member Firms to Use Certain Investment Analysis Tools View Received Comments See Also - Rel. No. 34-47590 |
| 34-50458 | Sep 28, 2004 | SR-NASD-2004-109 | National Association of Securities Dealers (NASD) | Order Granting Approval to Proposed Rule Change To Increase the Initial Inclusion Requirements for Certain Foreign Securities Seeking To List on the Nasdaq SmallCap Market See Also - Rel. No. 34-50183 |
| 34-50456 | Sep 27, 2004 | SR-NASD-2004-098 | National Association of Securities Dealers (NASD) | Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to Proposed Amendments to Eliminate Exemptions From the Continuing Education Regulatory Element Requirements See Also - Rel. No. 34-50204 |
| 34-50446 | Sep 24, 2004 | SR-NASD-2004-121 | National Association of Securities Dealers (NASD) | Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the National Association of Securities Dealers, Inc. To Include Failures to Timely Submit Amendments to Form U5 in its Minor Rule Violation Plan View Received Comments See Also - Rel. No. 34-50221 |
| 34-50447 | Sep 24, 2004 | SR-NASD-2004-126 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. Regarding Waiver of California Arbitrator Disclosure Standards |
| 34-50434 | Sep 23, 2004 | SR-NASD-2004-134 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc., Relating to Multiple Market Participant Identifiers |