National Association of Securities Dealers (NASD) Rulemaking
We encourage the public to submit comments on the following filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.
| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-55819 | May 25, 2007 | SR-NASD-2007-033 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Extension of NASD's Authority Under the Cease and Desist Pilot Program |
| 34-55810 | May 24, 2007 | SR-NASD-2007-034 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change 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. 34-56179 |
| 34-55806 | May 23, 2007 | SR-NASD-2007-028 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Order Audit Trail System See Also - Rel. No. 34-56003 |
| 34-55759 | May 15, 2007 | SR-NASD-2007-032 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding NASD's Exemptive Authority Relating to Regulation NMS Trade Reporting Requirements |
| 34-55765 | May 15, 2007 | SR-NASD-2006-044 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Interpretive Material to NASD Rule 3060 To Require Members To Adopt Policies and Procedures Addressing Business Entertainment View Received Comments |
| 34-55745 | May 11, 2007 | SR-NASD-2007-030 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trade Reporting Obligations for Transactions in Foreign Equity Securities View Received Comments |
| 34-55737 | May 10, 2007 | SR-NASD-2006-124 | National Association of Securities Dealers (NASD) | Notice of Filing of Amendment Nos. 1 and 2 to, and Order Granting Accelerated Approval of, a Proposed Rule Change as Modified by Amendment Nos. 1 and 2 To Require the Provision of Certain Information About the Securities Investor Protection Corporation to Customers View Received Comments See Also - Rel. No. 34-54871 |
| 34-55717 | May 7, 2007 | SR-NASD-2007-029 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change Relating to Access Fee Display Requirements for the OTCBB View Received Comments |
| 34-55703 | May 3, 2007 | SR-NASD-2007-026 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Implement Technical Changes to the Customer, Industry and Mediation Codes |
| 34-55697 | May 2, 2007 | SR-NASD-2007-027 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change to NASD By-Laws Relating to SEC Section 31-Related Fees View Received Comments See Also - Rel. No. 34-55886 |