National Association of Securities Dealers (NASD) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-56039 | Jul 10, 2007 | SR-NASD-2007-021 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change To Amend the Definition of Public Arbitrator View Received Comments See Also - Rel. No. 34-57492 |
| 34-56029 | Jul 9, 2007 | SR-NASD-2007-038 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Customer and the Industry Codes of Arbitration Procedure To Clarify NASD's Jurisdiction Concerning Members of Other Self-Regulatory Organizations |
| 34-56007 | Jul 3, 2007 | SR-NASD-2007-046 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Allow NASD Members To Use the NASD/Nasdaq Trade Reporting Facility To Process Transaction Fees Charged by One Member to Another Member |
| 34-56003 | Jul 2, 2007 | SR-NASD-2007-028 | National Association of Securities Dealers (NASD) | Order Audit Trail System See Also - Rel. No. 34-55806 |
| 34-56004 | Jul 2, 2007 | SR-NASD-2004-130 | National Association of Securities Dealers (NASD) | Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change as Modified by Amendment Nos. 2 and 3 Relating to Amendments to Rule 2320(g) (Three Quote Rule) and Corresponding Recordkeeping Requirements under Rule 3110(b) View Received Comments See Also - Rel. No. 34-54650 |
| 34-55962 | Jun 26, 2007 | SR-NASD-2007-040 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Clearing Reports for Previously Executed Trades |
| 34-55916 | Jun 15, 2007 | SR-NASD-2007-037 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASD Rules To Extend the Closing Time of the NASD/NYSE Trade Reporting Facility to 8 p.m. |
| 34-55886 | Jun 8, 2007 | SR-NASD-2007-027 | National Association of Securities Dealers (NASD) | Order Approving Proposed Rule Change Relating to SEC Section 31-Related Fees View Received Comments See Also - Rel. No. 34-55697 |
| 34-55879 | Jun 8, 2007 | SR-NASD-2007-036 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Technical Amendment to New NASD Rule 2342 (SIPC Information) |
| 34-55878 | Jun 7, 2007 | SR-NASD-2006-074 | National Association of Securities Dealers (NASD) | Order Approving Proposed Rule Change Relating to the Application of NASD Rule 2790 to Issuer-Directed Securities View Received Comments See Also - Rel. No. 34-55128 |