National Association of Securities Dealers (NASD) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-49527 | Apr 2, 2004 | SR-NASD-2004-049 | 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 Establish Examination and Development Fees in Connection With Series 86/87 Fees for Research Analysts |
| 34-49522 | Apr 2, 2004 | SR-NASD-2003-182 | National Association of Securities Dealers (NASD) | Order Granting Approval of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Proposed Amendments to "TRACE-Eligible Security" and an Exemption to Trade Reporting View Received Comments See Also - Rel. No. 34-48926 |
| 34-49512 | Mar 31, 2004 | SR-NASD-2004-054 | 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 Make Permanent the Current Pilot Program for the Imposition of a Fee for Written Interpretations of Nasdaq Listing Rules View Received Comments |
| 34-49497 | Mar 29, 2004 | SR-NASD-2003-184 | National Association of Securities Dealers (NASD) | Order Granting Approval of Proposed Rule Change by the National Association of Securities Dealers, Inc., To Require Members To Review and Update Executive Representative Contact Information on a Quarterly Basis View Received Comments |
| 34-49486 | Mar 26, 2004 | SR-NASD-2004-036 | National Association of Securities Dealers (NASD) | Notice of Filing of a Proposed Rule Change by the National Association of Securities Dealers, Inc. To Modify NASD Rule 7010(p)(3) To Revise and Update the Fee Schedule for OTC Bulletin Board Historical Trading Activity Reports See Also - Rel. No. 34-49663 |
| 34-49452 | Mar 26, 2004 | SR-NASD-2004-040 | 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, for an Additional Six-Month Period, a Pilot Rule Regarding Waiver of California Arbitrator Disclosure Standards |
| 34-49471 | Mar 25, 2004 | SR-NASD-2004-037 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc., Revising the Pilot Relating to the Issuance of Market Participant Identifiers |
| 34-49464 | Mar 24, 2004 | SR-NYSE-2004-03, SR-NASD-2004-020 | New York Stock Exchange LLC (NYSE), National Association of Securities Dealers (NASD) | Order Granting Accelerated Approval of Proposed Rule Changes by the New York Stock Exchange, Inc. and the National Association of Securities Dealers, Inc. Relating to Certain Prerequisites to and Exemptions From Taking the Research Analyst Qualification Examination ("Series 86/87") View Received Comments See Also - Rel. No. 34-49314 |
| 34-49439 | Mar 17, 2004 | SR-NASD-2004-023 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by National Association of Securities Dealers, Inc. To Amend Order Audit Trail System Rules Relating to Execution Reports See Also - Rel. No. 34-49628 |
| 34-49427 | Mar 16, 2004 | SR-NASD-2004-032 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc. To Modify NASD Rule 4619 With Respect to Certain Excused Withdrawal Requests |