National Association of Securities Dealers (NASD) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-55283 | Feb 12, 2007 | SR-NASD-2007-010 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASD Rule 7010 To Modify Pricing for NASD Members Using ITS/CAES System and Inet Facility |
| 34-55280 | Feb 12, 2007 | SR-NASD-2007-003 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fees and Credits for the NASD/BSE Trade Reporting Facility |
| 34-55245 | Feb 5, 2007 | SR-NASD-2007-009 | National Association of Securities Dealers (NASD) | Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Extension of NASD's Short Sale Rule Contained in Rule 5100 and Short Sale Standard Contained in IM-5100 View Received Comments |
| 34-55225 | Feb 1, 2007 | SR-NASD-2007-007 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Program That Increases Position and Exercise Limits for Certain Equity Options |
| 34-55206 | Jan 31, 2007 | SR-NASD-2007-008 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Periods for NASD Rules Governing Multiple MPIDs on the Trade Reporting Facilities and on the Alternative Display Facility |
| 34-55181 | Jan 26, 2007 | SR-NASD-2007-005 | National Association of Securities Dealers (NASD) | Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Operate the Alternative Display Facility on a Permanent Basis |
| 34-55180 | Jan 26, 2007 | SR-NASD-2007-004 | National Association of Securities Dealers (NASD) | Notice of Filing of a Proposed Rule Change to Amend NASD Rule 7010(k) Relating to Transaction Reporting and Compliance Engine Transaction Data See Also - Rel. No. 34-55409 |
| 34-55170 | Jan 26, 2007 | SR-NYSE-2006-111, SR-NASD-2006-131, SR-Amex-2007-05 | New York Stock Exchange LLC (NYSE), National Association of Securities Dealers (NASD), American Stock Exchange (Amex) | Notice of Filing of Proposed Rule Changes To Increase the Frequency of the Short Interest Reporting Requirements View Received Comments See Also - Rel. No. 34-55406 |
| 34-55158 | Jan 24, 2007 | SR-NASD-2003-158, SR-NASD-2004-011 | National Association of Securities Dealers (NASD) | Order Approving Proposed Rule Change and Amendments 1, 2, 3, and 4 to Amend NASD Arbitration Rules for Customer Disputes and Notice of Filing and Order Granting Accelerated Approval of Amendments 5, 6, and 7 thereto; Order Approving Proposed Rule Change and Amendments 1, 2, 3, and 4 to Amend NASD Arbitration Rules for Industry Disputes and Notice of Filing and Order Granting Accelerated Approval of Amendments 5, 6, and 7 thereto View Received Comments See Also - Rel. No. 34-51856, and comments received, Rel. No. 34-51857, and comments received |
| 34-55128 | Jan 18, 2007 | SR-NASD-2006-074 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change Relating to the Application of NASD Rule 2790 to Issuer-Directed Securities View Received Comments See Also - Rel. No. 34-55878 |