National Association of Securities Dealers (NASD) Rulemaking
We encourage the public to submit comments on the following filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.
| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-48627 | Oct 14, 2003 | SR-NASD-2003-130 | National Association of Securities Dealers (NASD) | Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the National Association of Securities Dealers, Inc. Relating to Amendments to Its Recently Adopted Rules Regarding Shareholder Approval for Stock Option or Purchase Plans or Other Equity Compensation Arrangements |
| 34-48527 | Sep 23, 2003 | SR-NASD-2003-85 | National Association of Securities Dealers (NASD) | Order Granting Accelerated Approval to Amendment Nos. 3, 4, 5, and 7 Thereto Relating to a Post-Trade Anonymity Feature in SuperMontage View Received Comments See Also - Rel. No. 34-48088 |
| 34-48503 | Sep 17, 2003 | SR-NASD-2002-108 | National Association of Securities Dealers (NASD) | Notice of Filing of Amendment Nos. 4 and 5 to a Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Business Continuity Plans and Emergency Contact Information View Received Comments See Also - Rel. No. 34-49537, Rel. No. 34-46466 |
| 34-48488 | Sep 12, 2003 | SR-NASD-2003-138 | 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 Changes to the Territorial Boundaries of Certain NASD District Offices |
| 34-48460 | Sep 8, 2003 | SR-NASD-2002-162, SR-NYSE-2002-36 | New York Stock Exchange LLC (NYSE), National Association of Securities Dealers (NASD) | Notice of Extension of Comment Period for the Amendments to Proposed Rule Changes by the National Association of Securities Dealers, Inc. and New York Stock Exchange, Inc. Relating to Supervisory Control Amendments View Received Comments See Also - Rel. No. 34-49883, 34-48298, Rel. Nos. 34-47021, 34-46859 |
| 34-48442 | Sep 4, 2003 | SR-NASD-2003-98 | National Association of Securities Dealers (NASD) | Order Approving Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc. To Clarify Reporting Requirements for Transactions Conducted Through Electronic Communications Networks View Received Comments See Also - Rel. No. 34-48239 |
| 34-48434 | Sep 3, 2003 | SR-NASD-2003-81 | National Association of Securities Dealers (NASD) | Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto by National Association of Securities Dealers, Inc. Relating to Quote Decrementation in SuperMontage View Received Comments See Also - Rel. No. 34-47993 |
| 34-48242 | Aug 29, 2003 | SR-NASD-2003-92 | National Association of Securities Dealers (NASD) | Order Granting Approval To a Proposed Rule Change To Adopt NASD Rule 2370 To Govern Certain Lending Arrangements Between Registered Persons and Customers View Received Comments See Also - Rel. No. 34-48093 |
| 34-48390 | Aug 21, 2003 | SR-NASD-2003-131 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Proposed Amendments to NASD's Telemarketing Rules To Require Members To Participate in the National Do-Not-Call Registry View Received Comments |
| 34-48353 | Aug 15, 2003 | SR-NASD-2003-126 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Extend the Pilot Period for Rules Relating to Bond Fund Volatility Ratings |