National Association of Securities Dealers (NASD) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-55128 | Jan 18, 2007 | SR-NASD-2006-074 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change Relating to the Application of NASD Rule 2790 to Issuer-Directed Securities View Received Comments See Also - Rel. No. 34-55878 |
| 34-55127 | Jan 18, 2007 | SR-NASD-2003-168 | National Association of Securities Dealers (NASD) | Notice of Filing of Amendment No. 6 and Order Granting Accelerated Approval to Proposed Rule Change Relating to the Release of Information Through NASD's BrokerCheck View Received Comments See Also - Rel. No. 34-54053, Rel. No. 34-51915 |
| 34-55108 | Jan 16, 2007 | SR-NASD-2006-101 | National Association of Securities Dealers (NASD) | Order Approving Proposed Rule Change and Amendment No. 1 Thereto To Provide for the Payment of a $200 Honorarium Per Case for Each Arbitrator Who Considers Contested Motions for the Issuance of Subpoenas See Also - Rel. No. 34-54857 |
| 34-55101 | Jan 12, 2007 | SR-NASD-2007-002 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Conforming Changes to the NASD/Nasdaq Trade Reporting Facility Rules Consistent With the New Requirements of Regulation NMS View Received Comments |
| 34-55088 | Jan 11, 2007 | SR-NASD-2007-001 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Alternative Display Facility Rules |
| 34-55078 | Jan 10, 2007 | SR-NASD-2006-136 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Technical and Grammatical Corrections to Rule 10308 |
| 34-55072 | Jan 9, 2007 | SR-NYSE-2006-78, SR-NASD-2006-113 | New York Stock Exchange LLC (NYSE), National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Changes To Amend NYSE Rules 472 and 344, and NASD Rules 1050 and 2711 Relating to Research Analyst Conflicts of Interest View Received Comments |
| 34-55038 | Jan 3, 2007 | SR-NASD-2005-079 | National Association of Securities Dealers (NASD) | Order Granting Accelerated Approval to Amendment No. 4 to Revise Rule 10322 of the NASD Code of Arbitration Procedure Pertaining to Subpoenas and the Power to Direct Appearances View Received Comments See Also - Rel. No. 34-54134, Rel. No. 34-51981 |
| 34-54984 | Dec 20, 2006 | SR-NASD-2006-135 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposal Relating to Implementation of Certain Approved Rule Changes Reflecting the Complete Separation of Nasdaq from NASD |
| 34-54952 | Dec 18, 2006 | SR-NASD-2006-039 | National Association of Securities Dealers (NASD) | Order Granting Approval to Proposed Rule Change and Amendment Nos. 1 and 2 Thereto To Amend NASD Rules To Modify and Expand NASD's Authority To Initiate Trading and Quotation Halts in OTC Equity Securities View Received Comments See Also - Rel. No. 34-53920 |