National Association of Securities Dealers (NASD) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-48347 | Aug 14, 2003 | SR-NASD-2003-95 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Arbitrator Classification and Disclosure in NASD Arbitration View Received Comments See Also - Rel. No. 34-49573 |
| 34-48303 | Aug 8, 2003 | SR-NASD-2003-120 | 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 a Revenue Sharing Program View Received Comments |
| 34-48305 | Aug 8, 2003 | SR-NASD-2003-99 | National Association of Securities Dealers (NASD) | Order Granting Approval of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Amend Rule 6260 Regarding New Issue Notification Procedures for TRACE-Eligible Securities |
| 34-48298 | Aug 7, 2003 | SR-NASD-2002-162 | National Association of Securities Dealers (NASD) | Notice of Filing of Amendment Nos. 1 and 2 to Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Supervisory Control Amendments View Received Comments See Also - Rel. No. 34-49883, Rel. Nos. 34-48460, Rel. Nos. 34-47021, 34-46859 |
| 34-48252 | Jul 29, 2003 | SR-NASD-2002-154 | National Association of Securities Dealers (NASD) | Order Granting Accelerated Approval of Amendment No. 3 to the Proposed Rule Change by the New York Stock Exchange, Inc. and Amendment No. 3 to the Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Research Analyst Conflicts of Interest View Received Comments See Also - Rel. No. 34-47912, Rel. No. 34-47110, NASD Amendment No. 3, NASD Response to Comments |
| 34-48239 | Jul 28, 2003 | SR-NASD-2003-98 | 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., Regarding Reporting of Transactions Conducted Through Electronic Communications Networks to the Automated Confirmation Transaction Service See Also - Rel. No. 34-48442 |
| 34-48234 | Jul 28, 2003 | SR-NASD-2003-93 | National Association of Securities Dealers (NASD) | Order Granting Approval of Proposed Rule Change by the National Association of Securities Dealers, Inc., To Increase the Trading Activity Fee |
| 34-48225 | Jul 25, 2003 | SR-NASD-2003-101 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Time Limits for Submission of Claims in Arbitration View Received Comments See Also - Rel. No. 34-50714 |
| 34-48161A | Jul 16, 2003 | SR-NASD-2003-57 | National Association of Securities Dealers (NASD) | Order Granting Accelerated Approval To Amendment No. 3 to the Proposed Rule Change Relating to Revisions to the Uniform Application for Securities Industry Registration or Transfer (Form U-4) and Uniform Termination Notice for Securities Industry Registration (Form U-5) View Received Comments See Also - 34-48161, Rel. No. 34-47936 |
| 34-48161 | Jul 10, 2003 | SR-NASD-2003-57 | National Association of Securities Dealers (NASD) | Order Granting Accelerated Approval to Amendment No. 3 to the Proposed Rule Change Relating to Revisions to the Uniform Application for Securities Industry Registration or Transfer (Form U-4) and Uniform Termination Notice for Securities Industry Registration (Form U-5) View Received Comments See Also - Rel. Nos. 34-48161A, Rel. No. 34-47936 |