National Association of Securities Dealers (NASD) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-48986 | Dec 23, 2003 | SR-NASD-2003-183 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Proposed Amendments to Rule 1120 Regarding Regulatory Element Contact Person View Received Comments |
| 34-48981 | Dec 23, 2003 | SR-NASD-2003-176 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change 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. 34-49129 |
| 34-48933 | Dec 16, 2003 | SR-NASD-2002-168 | National Association of Securities Dealers (NASD) | Order Granting Accelerated Approval to Amendment No. 2, Thereto, Relating to Proposed NASD Rule 2130 Concerning the Expungement of Customer Dispute Information From the Central Registration Depository System View Received Comments See Also - Rel. No. 34-47435 |
| 34-48926 | Dec 15, 2003 | SR-NASD-2003-182 | National Association of Securities Dealers (NASD) | Notice of Filing 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. 34-49522 |
| 34-48897 | Dec 9, 2003 | SR-NASD-2003-104 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the National Association of Securities Dealers, Inc. Relating to Proposed New Uniform Definition of "Branch Office" Under NASD Rule 3010(g)(2) View Received Comments See Also - Rel. No. 34-52403 |
| 34-48878 | Dec 4, 2003 | SR-NASD-2003-173 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to the Nasdaq Closing Cross View Received Comments See Also - Rel. No. 34-49406 |
| 34-48745 | Nov 4, 2003 | SR-NASD-2002-141, SR-NYSE-2002-33, SR-NASD-2002-80, SR-NASD-2002-138, SR-NASD-2002-139, SR-NASD-2002-141 | National Association of Securities Dealers (NASD), New York Stock Exchange LLC (NYSE) | Order Granting Accelerated Approval of Amendment Nos. 2 and 3 to SR-NYSE-2002-33, Amendment Nos. 2, 3, 4 and 5 to SR-NASD-2002-141, Amendment Nos. 2 and 3 to SR-NASD-2002-80, Amendment Nos. 1, 2, and 3 to SR-NASD-2002-138, and Amendment No. 2 to SR-NASD-2002-139, Relating to Corporate Governance View Received Comments See Also - Rel. No. 34-47672, Comments received for SR-NYSE-2002-33, are available for this notice. Comments received for SR-NASD-2002-77, are available for this notice. Comments received for SR-NASD-2002-80, are available for this notice. Comments received for SR-NASD-2002-138, are available for this notice. Comments received for SR-NASD-2002-139, are available for this notice. Comments received for SR-NASD-2002-141 |
| 34-48714 | Oct 29, 2003 | SR-NASD-2003-157 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change and Amendment No. 1 by the National Association of Securities Dealers, Inc. Relating to Permanent Fee Structure for the Trade Reporting and Compliance Engine (TRACE) View Received Comments See Also - 34-43267 |
| 34-48701 | Oct 24, 2003 | SR-NASD-99-60 | National Association of Securities Dealers (NASD) | Order Granting Accelerated Approval of Amendment No. 5 Thereto by the National Association of Securities Dealers, Inc. Relating to Restrictions on the Purchases and Sales of Initial Public Offerings of Equity Securities View Received Comments See Also - Rel. No. 34-42325, 34-43267 |
| 34-48675 | Oct 21, 2003 | SR-NASD-2003-143 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the National Association of Securities Dealers, Inc. To Establish a New "Auto-Ex" Order in Nasdaq's SuperMontage System View Received Comments See Also - Rel. No. 34-49020 |