National Association of Securities Dealers (NASD) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-55638 | Apr 16, 2007 | SR-NASD-2003-141 | National Association of Securities Dealers (NASD) | Order Granting Approval to Proposed Rule Change Relating to Additional Mark-Up Policy for Transactions in Debt Securities, Except Municipal Securities View Received Comments See Also - Rel. No. 34-54799, Rel. No. 34-51338 |
| 34-55617 | Apr 11, 2007 | SR-NASD-2007-022 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Technical Amendments to the Code of Mediation Procedure |
| 34-55604 | Apr 9, 2007 | SR-NASD-2006-109 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Representation of Parties in Arbitration and Mediation View Received Comments See Also - Rel. No. 34-56540, Request for Immediate Stay of Effective Date of Approval Order, Rel. No. 34-57028 |
| 34-55538 | Mar 27, 2007 | SR-NASD-2007-018 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NASD Rule 7000 Series To Delete References To Systems and Services That Will No Longer Be Provided by NASD |
| 34-55526 | Mar 26, 2007 | SR-NASD-2007-025 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New NASD Rule 7000E Series Relating to Fees and Credits for the NASD/NYSE Trade Reporting Facility |
| 34-55518 | Mar 23, 2007 | SR-NASD-2007-024 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Portfolio Margin |
| 34-55495 | Mar 20, 2007 | SR-NASD-2007-023 | National Association of Securities Dealers (NASD) | Notice of Filing of 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 - Exhibit 5, Rel. No. 34-56145, Rel. No. 34-56145A |
| 34-55471 | Mar 14, 2007 | SR-NASD-2007-013 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Portfolio Margin |
| 34-55440 | Mar 9, 2007 | SR-NASD-2007-019 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise Effective Date of Amendments to NASD's Order Audit Trail System Rules |
| 34-55412 | Mar 7, 2007 | SR-NASD-2007-015 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASD Rules 1012 (General Provisions) and 1013 (New Member Application and Interview) To Require an Applicant for Membership To Submit an Application in the Manner Prescribed by NASD |