National Association of Securities Dealers (NASD) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-50409 | Sep 17, 2004 | SR-NASD-2004-137 | 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 Amendments to the OATS Rules To Require That ECNs Capture Routed Order Identifier Information |
| 34-50406 | Sep 16, 2004 | SR-NASD-2004-119 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Regarding Fees for Orders and Quotes Executed in the Nasdaq Closing Cross |
| 34-50405 | Sep 16, 2004 | SR-NASD-2004-071 | National Association of Securities Dealers (NASD) | Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Improved Nasdaq Opening Process View Received Comments See Also - Rel. No. 34-49842 |
| 34-50403 | Sep 16, 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 See Also - Rel. No. 34-50926, Rel. No. 34-50403A |
| 34-50391 | Sep 15, 2004 | SR-NASD-2004-090 | National Association of Securities Dealers (NASD) | Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to the Nasdaq Closing Cross See Also - Rel. No. 34-50087 |
| 34-50372 | Sep 14, 2004 | SR-NASD-2004-074 | 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 Clarify and Modify Market Maker Quote Re-Entry Obligations See Also - Rel. No. 34-50606 |
| 34-50347 | Sep 10, 2004 | SR-NASD-2003-176 | National Association of Securities Dealers (NASD) | Order Approving Proposed Rule Change and Amendments Nos. 1 and 2 Thereto by the National Association of Securities Dealers, Inc. Relating to Chief Executive Officer Certification and Designation of Chief Compliance Officer View Received Comments See Also - Rel. No. 34-50105, Rel. No. 34-49129, Rel. No. 34-48981 |
| 34-50335 | Sep 9, 2004 | SR-NASD-2004-136 | National Association of Securities Dealers (NASD) | Notice to Members 04-50 (Treatment of Commodity Pool Trail Commissions Under Rule 2810) View Received Comments |
| 34-50325 | Sep 7, 2004 | SR-NASD-2004-102 | National Association of Securities Dealers (NASD) | Order Approving Proposed Rule Change by the National Association of Securities Dealers, Inc. To Establish a Fee for Company Profile Reports of OTCBB Issuers See Also - Rel. No. 34-50037 |
| 34-50318 | Sep 3, 2004 | SR-NASD-2004-127 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the National Quotation Data Service Fee Pilot |