National Association of Securities Dealers (NASD) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-47210 | Jan 17, 2003 | SR-NASD-2003-02 | 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 Nasdaq PostData and the Fees Assessed Under NASD Rule 7010(s) View Received Comments |
| 34-47110 | Dec 31, 2002 | SR-NYSE-2002-49 | New York Stock Exchange LLC (NYSE), National Association of Securities Dealers (NASD) | Notice of Filing of 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 Research Analyst Conflicts of Interest View Received Comments See Also - Rel. No. 34-48252, Rel. No. 34-47912 |
| 34-47021 | Dec 18, 2002 | SR-NASD-2002-162, SR-NYSE-2002-36 | New York Stock Exchange LLC (NYSE), National Association of Securities Dealers (NASD) | Notice of Extension of Comment Period for the Proposed Rule Changes by the National Association of Securities Dealers, Inc. and New York Stock Exchange, Inc. Relating to Supervisory Control Amendments View Received Comments See Also - Rel. No. 34-49882, 34-46585A, 34-46858, Rel. No. 34-49883, Rel. Nos. 34-48460, 34-48298, 34-46859 |
| 34-46859 | Nov 20, 2002 | SR-NASD-2002-162 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change Relating to Supervisory Control Amendments View Received Comments See Also - Rel. No. 34-49883, Rel. Nos. 34-48460, 34-48298, Rel. Nos. 34-47021 |
| 34-46649 | Oct 11, 2002 | SR-NASD-2002-140 | 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 Shareholder Approval for Stock Option Plans or Other Arrangements View Received Comments See Also - Rel. No. 34- |
| 34-46444 | Aug 30, 2002 | SR-NASD-2002-108 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Business Continuity Plans and Emergency Contact Information View Received Comments See Also - Rel. No. 34-49537, Rel. No. 34-48503 |
| 34-46429 | Aug 29, 2002 | SR-NASD-99-53 | National Association of Securities Dealers (NASD) | Order with respect to the implementation of Nasdaq's Supermontage Facility View Received Comments See Also - Release No. 4-646, 34-43863, Rel. Nos. 34-43514, 34-43138, 34-42573, 34-42249, 34-42166 |
| 34-46249 | Jul 24, 2002 | SR-NASD-2002-97 | National Association of Securities Dealers (NASD) | Notice of Filing and Order Granting Accelerated Approval on a Pilot Basis to a Proposed Rule Change by the National Association of Securities Dealers, Inc., Relating to the Operation of the Alternative Display Facility for Quoting and Trading in Securities of The Nasdaq Stock Market, Inc. View Received Comments |
| 34-46159 | Jul 2, 2002 | SR-NASD-2002-61, SR-NASD-2002-68, SR-CSE-2002-06, SR-PCX-2002-37 | National Association of Securities Dealers (NASD) | Order of Summary Abrogation |
| 34-45991 | May 28, 2002 | SR-NASD-2001-90 | National Association of Securities Dealers (NASD) | Notice of Filing of Amendment No. 2 to a Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Nasdaq's Proposed Separation from the NASD and the Establishment of the NASD Alternative Display Facility View Received Comments |