National Association of Securities Dealers (NASD) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-48108 | Jun 30, 2003 | SR-NASD-2002-140, SR-NYSE-2002-46 | National Association of Securities Dealers (NASD) | Order Granting Accelerated Approval to NYSE Amendments No. 1 and 2 and Nasdaq Amendments No. 2 and 3 Thereto Relating to Equity Compensation Plans View Received Comments See Also - Rel. Nos. 34-46620A, 34-46620, Rel. No. 34-46649 |
| 34-48093 | Jun 26, 2003 | SR-NASD-2003-92 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Adopt NASD Rule 2370 To Govern Certain Lending Arrangements Between Registered Persons and Customers View Received Comments See Also - Rel. No. 34-48242 |
| 34-48088 | Jun 25, 2003 | SR-NASD-2003-85 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. and Amendments No. 1 and 2 Thereto Relating to a Post-Trade Anonymity Feature in SuperMontage View Received Comments See Also - Rel. No. 34-48527 |
| 34-48056 | Jun 18, 2003 | SR-NASD-2003-78 | National Association of Securities Dealers (NASD) | Order Granting Accelerated Approval To Proposed Rule Change by the National Association of Securities Dealers, Inc. To Amend Rule 6230 To Reduce TRACE Reporting Period View Received Comments See Also - Rel. No. 34-47856 |
| 34-47993 | Jun 5, 2003 | SR-NASD-2003-81 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by National Association of Securities Dealers, Inc. Relating to Quote Decrementation in SuperMontage View Received Comments See Also - Rel. No. 34-48434 |
| 34-47936 | May 28, 2003 | SR-NASD-2003-57 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change, Amendment No. 1, and Amendment No. 2 Thereto Relating to Revisions to the Uniform Application for Securities Industry Registration or Transfer (Form U-4) and Uniform Termination Notice for Securities Industry Registration (Form U-5) View Received Comments See Also - Rel. Nos. 34-48161A, 34-48161 |
| 34-47912 | May 22, 2003 | SR-NYSE-2002-49, SR-NASD-2002-154 | New York Stock Exchange LLC (NYSE), National Association of Securities Dealers (NASD) | Notice of Filing of Amendment No. 2 to Proposed Rule Changes by the New York Stock Exchange, Inc. Relating to Exchange Rules 344 ("Supervisory Analysts"), 345A ("Continuing Education for Registered Persons"), 351 ("Reporting Requirements") and 472 ("Communications With the Public") and by the National Association of Securities Dealers, Inc. Relating to NASD Rule 2711 ("Research Analysts and Research Reports") View Received Comments See Also - Rel. No. 34-48252, Rel. No. 34-47110 |
| 34-47856 | May 14, 2003 | SR-NASD-2003-78 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Amend Rule 6230 To Reduce TRACE Reporting Period View Received Comments See Also - Rel. No. 34-48056 |
| 34-47693 | Apr 17, 2003 | SR-NASD-2003-50 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Modify Fees for Computer-to-Computer Interface Lines Used by NASD Members and Non-Members To Provide Service Bureau Functionality View Received Comments |
| 34-47685 | Apr 16, 2003 | SR-NASD-2003-73 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Extend the Pilot Period for the Regulatory Fee and the Trading Activity Fee View Received Comments |