National Association of Securities Dealers (NASD) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-56279 | Aug 17, 2007 | SR-NASD-2007-047 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Certain Rules in Light of Amendments to SEC Rule 10a-1 and Regulation SHO |
| 34-56207 | Aug 6, 2007 | SR-NASD-2007-044 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change 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. 34-56916 |
| 34-56179 | Aug 1, 2007 | SR-NASD-2007-034 | National Association of Securities Dealers (NASD) | Order Approving Proposed Rule Change as Modified by Amendment No. 1 Creating NASD Rule 1160 (Firm Contact Information) Regarding the Reporting and Annual Review of Designated Contact Information to NASD View Received Comments See Also - Rel. No. 34-55810 |
| 34-56175 | Jul 31, 2007 | SR-NASD-2007-055 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change Relating to Interpretative Material 9216, Violations Appropriate for Disposition Under Plan Pursuant to SEC Rule 19d-1(c)(2) See Also - Rel. No. 34-56504 |
| 34-56145 | Jul 26, 2007 | SR-NASD-2007-023 | National Association of Securities Dealers (NASD) | Order Approving Proposed Rule Change To Amend the By-Laws of NASD To Implement Governance and Related Changes To Accommodate the Consolidation of the Member Firm Regulatory Functions of NASD and NYSE Regulation, Inc. View Received Comments See Also - Rel. No. 34-55495, Rel. No. 34-56145A |
| 34-56147 | Jul 26, 2007 | SR-NASD-2007-054 | National Association of Securities Dealers (NASD) | Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Incorporate Certain NYSE Rules Relating to Member Firm Conduct |
| 34-56146 | Jul 26, 2007 | SR-NASD-2007-053 | National Association of Securities Dealers (NASD) | Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Restated Certificate of Incorporation of National Association of Securities Dealers, Inc. |
| 34-56124 | Jul 24, 2007 | SR-NASD-2007-042 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation of NASD Interpretive Material 2210-4, which Requires Certain Member Firms to Provide a Hyperlink to http://www.nasd.com. |
| 34-56103 | Jul 19, 2007 | SR-NASD-2007-039 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay Implementation of Certain Changes to the Manning Rule View Received Comments |
| 34-56108 | Jul 19, 2007 | SR-NASD-2007-045 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Extending the Portfolio Margin Pilot Program |