National Association of Securities Dealers (NASD) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-45908 | May 10, 2002 | SR-NASD-2002-21 | National Association of Securities Dealers (NASD) | Order Granting Accelerated Approval of Amendment No. 2 to the Proposed Rule Change by the National Association of Securities Dealers, Inc. and Amendment No. 1 to the Proposed Rule Change by the New York Stock Exchange, Inc. Relating to Research Analyst Conflicts of Interest View Received Comments See Also - Rel. No. 34-45679, Rel. No. 34-45526 |
| 34-45798 | Apr 22, 2002 | SR-NYSE-2002-10, SR-NASD-2002-24 | New York Stock Exchange LLC (NYSE), National Association of Securities Dealers (NASD) | Order Approving Proposed Rule Changes Relating to Anti-Money Laundering Compliance Programs |
| 34-45679 | Apr 2, 2002 | SR-NASD-2002-21, SR-NYSE-2002-09 | New York Stock Exchange LLC (NYSE), National Association of Securities Dealers (NASD) | Notice of Extension of the Comment Period for the Proposed Rule Changes by the National Association of Securities Dealers, Inc. and the New York Stock Exchange, Inc. Relating to Research Analyst Conflicts of Interest View Received Comments See Also - Rel. No. 34-45908, Rel. No. 34-45526 |
| 34-45531 | Mar 11, 2002 | SR-NASD-2002-05 | National Association of Securities Dealers (NASD) | Order Granting Approval to Proposed Rule Change Relating to Revisions to Form U-4 and Form U-5 |
| 34-45526 | Mar 8, 2002 | SR-NASD-2002-21, SR-NYSE-2002-09 | New York Stock Exchange LLC (NYSE), National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Changes by the National Association of Securities Dealers, Inc. and the New York Stock Exchange, Inc. Relating to Research Analyst Conflicts of Interest View Received Comments See Also - Rel. No. 34-45908, Rel. No. 34-45679 |
| 34-45501 | Mar 4, 2002 | SR-NASD-2002-28 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Fees Applicable to the NASD Alternative Display Facility View Received Comments |
| 34-45156 | Dec 14, 2001 | SR-NASD-2001-90 | National Association of Securities Dealers (NASD) | Notice of Filing of 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 See Also - Rel. No. 34-45991 |
| 34-45016 | Nov 5, 2001 | SR-NASD-2001-66 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change, Amendment No. 1, and Amendment No. 2 Thereto by the National Association of Securities Dealers, Inc. Relating To Display Requirements When Using Reserve Size in the Nasdaq National Market Execution System View Received Comments |
| 34-44950 | Oct 18, 2001 | SR-NASD-00-02 | National Association of Securities Dealers (NASD) | Notice of Filing of Amendments to Proposed Rule Change by National Associatioan of Securities Dealers, Inc. Amending NASD Code of Arbitration Rules 10335 and 10205(h) Relating to Injunctive Relief |
| 34-43863 | Jan 19, 2001 | SR-NASD-99-53 | National Association of Securities Dealers (NASD) | Order Approving Proposed Rule Changes and Amendment Nos. 1, 2, 3, 4, 5, 6, 7 and 8 Thereto and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 9 Relating to the Establishment of the Nasdaq Order Display Facility and Order Collector Facility and Modifications of the Nasdaq Trading Platform ("SuperMontage") View Received Comments See Also - Release No. 4-646, Rel. Nos. 34-43514, 34-43138, 34-42573, 34-42249, 34-42166 |