National Association of Securities Dealers (NASD) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-49406 | Mar 11, 2004 | SR-NASD-2003-173 | 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., Through Its subsidiary, The Nasdaq Stock Market, Inc., Relating to the Nasdaq Closing Cross View Received Comments See Also - Rel. No. 34-48878 |
| 34-49314 | Feb 24, 2004 | SR-NYSE-2004-03, SR-NASD-2004-020 | 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 Certain Prerequisites to and Exemptions From Taking the Research Analyst Qualification Examination ("Series 86/87") View Received Comments See Also - Rel. No. 34-49464 |
| 34-49285 | Feb 20, 2004 | SR-NASD-2004-031 | 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 Establishing an Effective Date For NASD Rule 3370, Affirmative Determination Requirements View Received Comments |
| 34-49220 | Feb 11, 2004 | SR-NASD-2003-128 | National Association of Securities Dealers (NASD) | Order Approving Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto by the National Association of Securities Dealers, Inc. Relating to the Establishment of a Maximum ECN Access Fee in SuperMontage and the Elimination of SuperMontage's Price/Time With Fee Consideration and Price/Size Execution Algorithms View Received Comments |
| 34-49129 | Jan 27, 2004 | SR-NASD-2003-176 | National Association of Securities Dealers (NASD) | Notice of Designation of Longer Period for Commission Action and Extension of Comment Period on a Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Chief Executive Officer and Chief Compliance Officer Certification View Received Comments See Also - Rel. No. 34-50347, Rel. No. 34-50105, Rel. No. 34-48981 |
| 34-49114 | Jan 22, 2004 | SR-NASD-2003-201 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Amend the Trading Activity Fee Rate and Add TRACE-Eligible and Municipal Securities as Covered Securities View Received Comments See Also - Rel. No. 34-50485 |
| 34-49106 | Jan 20, 2004 | SR-NASD-2004-06 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change by National Association of Securities Dealers, Inc. Related to the Entry of Locking or Crossing Bids or Offers by ECNs Participating in Nasdaq's SuperMontage System View Received Comments |
| 34-49086 | Jan 15, 2004 | SR-NASD-2003-157 | National Association of Securities Dealers (NASD) | Order Granting Accelerated Approval of Amendment No. 2 Thereto, by the National Association of Securities Dealers, Inc., Relating to the Permanent Fee Structure for the Trade Reporting and Compliance Engine (TRACE) View Received Comments See Also - Rel. No. 34-48714 |
| 34-49081 | Jan 14, 2004 | SR-NASD-2004-05 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Amend NASD Rule 2370 Relating to Certain Lending Arrangements Between Registered Persons and Customers View Received Comments |
| 34-49020 | Jan 5, 2004 | SR-NASD-2003-143 | National Association of Securities Dealers (NASD) | Order Granting Approval to a Proposed Rule Change and Amendments Nos. 1, 2, and 3 Thereto to Establish a New "Auto-Ex" Order in Nasdaq's SuperMontage System View Received Comments See Also - Rel. No. 34-48675 |