National Association of Securities Dealers (NASD) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-57763 | May 1, 2008 | SR-NASD-2007-031 | National Association of Securities Dealers (NASD) | Order Approving Proposed Rule Change as Modified by Amendment Nos. 1, 2 and 3 Thereto To Amend NASD Rule 7001E To Increase the Percentage of Market Data Revenue Shared With NASD/NYSE TRF Participants View Received Comments See Also - Rel. No. 34-56754 |
| 34-57504 | Mar 14, 2008 | SR-NASD-2007-52 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to the NASD Rule 9700 Series To Streamline the Procedural Rules Applicable to General Grievances Related to FINRA Automated Systems See Also - Rel. No. 34-57786 |
| 34-57492 | Mar 13, 2008 | SR-NASD-2007-021 | National Association of Securities Dealers (NASD) | Order Approving Proposed Rule Change To Amend the Definition of Public Arbitrator View Received Comments See Also - Rel. No. 34-56039 |
| 34-57199 | Jan 25, 2008 | SR-NASD-2005-114 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, 3 and 4 Relating to the Regulation of Compensation, Fees and Expenses in Public Offerings of Real Estate Investment Trusts and Direct Participation Programs View Received Comments See Also - Rel. No. 34-57803, Rel. No. 34-54118 |
| 34-56972 | Dec 14, 2007 | SR-NASD-2007-035 | National Association of Securities Dealers (NASD) | Order Granting Approval of a Proposed Rule Change Related to Mandated Use of an Automated Liability Notification System See Also - Rel. No. 34-56639 |
| 34-56916 | Dec 6, 2007 | SR-NASD-2007-044 | National Association of Securities Dealers (NASD) | Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Expand the Class of Entities Permitted to Use the Delta Hedging Exemption from Equity Options Position Limits View Received Comments See Also - Rel. No. 34-56207 |
| 34-56754 | Nov 6, 2007 | SR-NASD-2007-031 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto To Amend NASD Rule 7001E To Increase Percentage of Market Data Revenue Shared With NASD/NYSE TRF Participants View Received Comments See Also - Rel. No. 34-57763 |
| 34-56752 | Nov 6, 2007 | SR-NASD-2007-043 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Amend NASD Rule 7001C To Increase Percentage of Market Data Revenue Shared With NASD/NSX TRF Participants View Received Comments See Also - Rel. No. 34-57764 |
| 34-56661 | Oct 15, 2007 | SR-NASD-2005-100 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, 3, and 4 Thereto, To Require Members To Provide Customers in TRACE-Eligible Debt Securities With Additional, Transaction-Specific Disclosures and To Notify Customers of the Availability of a Disclosure Document View Received Comments See Also - Rel. No. 34-67867 |
| 34-56653 | Oct 12, 2007 | SR-NASD-2007-056 | National Association of Securities Dealers (NASD) | Order Approving Proposed Rule Change To Establish a Membership Waive-In Process for Certain NYSE Member Organizations See Also - Rel. No. 34-56347 |