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NASD Rulemaking Archive: 1998
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Note: Only selected Self-Regulatory Organization rule proposals were posted to the SEC web site prior to 2004. To obtain copies of releases not appearing on the web site, please refer to How to Request Public Documents.
Available NASD Rules include:
Chronological List
NASD File Number List for 1998
Additional Archives
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Release No. |
Date |
Details |
SR-NASD-98-80 |
34-40826 |
Dec. 22, 1998 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Issuance of Temporary Cease and Desist Orders |
SR-NASD-98-75 |
34-40745 |
Dec. 3, 1998 |
Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change and Amendment No. 1 Thereto Requiring Certain NASD Member Firms to Participate in the Integrated, Industry-Wide, Year 2000 Tests |
SR-NASD-97-89 |
34-40627 |
Nov. 2, 1998 |
Notice of Filing of Proposed Rule Change Relating to Bond Mutual Fund Volatility Ratings |
SR-NASD-98-67 and SR-NASD-98-56 |
34-40622 |
Oct. 30, 1998 |
Order Granting Approval to Proposed Rule Changes and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Thereto; Relating to the Combination of the American Stock Exchange, Inc. and the National Association of Securities Dealers, Inc., including Amendments to the Composition of the NASD Board and Relating to Policies Regarding Authority Over American Stock Exchange LLC and Composition of Board of Governors of American Stock Exchange LLC
File Nos. SR-AMEX-98-32; SR-NASD 98-56; SR-NASD 98-67
See also: Notice: Rel. No. 34-40615; Notice: Rel. No. 34-40443; Notice: Rel. No. 34-40339
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SR-NASD-98-56 |
34-40615 |
Oct. 28, 1998 |
Order Granting Partial Approval to Proposed Rule Change Relating to the Small Firm Representative on NASD Board Portion of the Proposed Rule Change Relating to Amendment to Composition of NASD Board to Include Members of New Amex LLC and for Other Purposes
See also: Order: Rel. No. 34-40622; Notice: Rel. No. 34-40339
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SR-NASD-98-77 |
34-40592 |
Oct. 22, 1998 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Central Registration Depository Fees |
SR-NASD-97-61 |
34-40511 |
Sep. 30, 1998 |
Notice of Filing of Proposed Rule Change and Amendments Nos. 1 and 2 Relating to the Application of NASD's Mark-Up Policy to Transactions in Government and Other Debt Securities
Comments received are available for this notice. |
SR-NASD-98-26 |
34-40485 |
Sep. 25, 1998 |
Notice of Filing and Order Granting Accelerated Approval to Amendment No. 5 to a Proposed Rule Change to Institute, On a Pilot Basis, New Primary Nasdaq Market Maker Standards for Nasdaq National Market Securities
See also: Notice/Orders: Rel. Nos. 34-40140; 34-39936; 34-39819
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SR-NASD-98-67 |
34-40443 |
Sep. 16, 1998 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Policies Regarding Authority Over American Stock Exchange LLC and Composition of Board of Governors of American Stock Exchange LLC
See also: Order: Rel. No. 34-40622
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SR-NASD-98-54 |
34-40354 |
Aug. 24, 1998 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Public and Non-Member Access to Nasdaq's SelectNet and SOES Systems through a Member Firm's Own System |
SR-NASD-98-56 |
34-40339 |
Aug. 19, 1998 |
Notice of Filing of Proposed Rule Change Relating to Amendment to Composition of NASD Board to Include Members of New Amex LLC and for Other Purposes
See also: Order: Rel. No. 34-40622; Notice: Rel. No. 34-40615
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SR-NASD-98-21 |
34-40211 |
Jul. 15, 1998 |
Order Approving a Proposed Rule Change to Permanently Expand the NASD's Rule Permitting Market Makers to Display Their Actual Quotation Size
See also: Notice: Rel. No. 34-39760
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SR-NASD-97-26 |
34-40139 |
Jun. 26, 1998 |
Notice of Filing and Order Granting Accelerated Approval to Amendment No. 5 Relating to an Extension of the Pilot for the NASD's Rule Permitting Market Makers to Display Their Actual Quotation Size
See also: Notice: Rel. No. 34-39760
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SR-NASD-98-26 |
34-40140 |
Jun. 26, 1998 |
Notice of Filing and Order Granting Accelerated Partial Approval to Amendment No. 4 to Proposed Rule Change to Institute, On a Pilot Basis, New Primary Nasdaq Market Maker Standards for Nasdaq National Market Securities
See also: Notice/Orders: Rel. Nos. 34-40485; 34-39936; 34-39819
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SR-NASD-98-18 |
34-40005 |
May 19, 1998 |
Notice of Extension of Comment Period for Proposal Relating to Qualified Immunity in Arbitration Proceedings for Statements Made on Forms U-4 and U-5
See also: Notice: Rel. No. 34-39892
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SR-NASD-98-26 |
34-39936 |
Apr. 30, 1998 |
Notice of Filing and Order Granting Accelerated Partial Approval to Amendment No. 3 to Proposed Rule Changes to Institute, On a Pilot Basis, New Primary Nasdaq Market Maker Standards for Nasdaq National Market Securities
See also: Notice/Orders: Rel. Nos. 34-40485; 34-40140; 34-39819
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SR-NASD-98-18 |
34-39892 |
Apr. 21, 1998 |
Notice of Filing of Proposed Rule Change Relating to Qualified Immunity in Arbitration Proceedings for Statements Made on Forms U-4 and U-5
See also: Notice: Rel. No. 34-40005
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SR-NASD-98-20 |
34-39831 |
Apr. 6, 1998 |
Notice of Filing of Proposed Rule Change Relating to Permitting Qualified Vendors to Provide Confirmation and Affirmation Services to Institutional Customers |
SR-NASD-98-26 |
34-39819 |
Mar. 30, 1998 |
Notice of Filing and Order Granting Accelerated Partial Approval to Proposed Rule Change to Implement, On a Pilot Basis, New Primary Nasdaq Market Maker Standards For All Nasdaq National Market Securities and to Extend the Short Sale Rule Pilot
See also: Notice/Orders: Rel. Nos. 34-40485; 34-40140; 34-39936
Use Adobe Acrobat® to view this file
Comments received are available for this notice. |
SR-NASD-97-26 |
34-39799 |
Mar. 25, 1998 |
Notice of Filing and Order Granting Accelerated Approval to Amendment No. 4 Relating to an Extension of the Pilot for the NASD's Rule Permitting Market Makers To Display Their Actual Quotation Size
See also: Notice/Order: Rel. No. 34-40139
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SR-NASD-98-17 |
34-39794 |
Mar. 25, 1998 |
Notice of Extension of the Comment Period for the Proposed Rule Change Relating to an Integrated Order Delivery and Execution System
See also: Notice: Rel. No. 34-41296; Notice: Rel. No. 34-39718
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SR-NASD-98-21 |
34-39760 |
Mar. 16, 1998 |
Notice of Proposed Rule Change Relating to an Expansion of the NASD's Rule Permitting Market Makers to Display Their Actual Quotation Size
See also: Order: Rel. No. 34-40211
Comments received are available for this notice. |
SR-NASD-97-56 |
34-39729 |
Mar. 6, 1998 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 2, 3, 4, 5, and 6 to Proposed Rule Change to Amend Rule 3110 and to Adopt New Rules 6950 Through 6957 Relating to the Creation of an Order Audit Trail System |
SR-NASD-98-17 |
34-39718 |
Mar. 4, 1998 |
Notice of Filing of Amendment No. 1 to a Proposed Rule Change Relating to an Integrated Order Delivery and Execution System
See also: Notices: Rel. No.s 34-41296; 34-39794
Comments received are available for this notice. |
SR-NASD-96-51 |
34-39550 |
Jan. 14, 1998 |
Order Approving Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 2, 3, and 4 to the Proposed Rule Change Relating to NASD Rule 11890 Regarding Clearly Erroneous Transactions |
NASD File Number List for 1998 |
Release No. |
Date |
Details |
SR-NASD-98-80 |
34-40826 |
Dec. 22, 1998 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Issuance of Temporary Cease and Desist Orders |
SR-NASD-98-77 |
34-40592 |
Oct. 22, 1998 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Central Registration Depository Fees |
SR-NASD-98-75 |
34-40745 |
Dec. 3, 1998 |
Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change and Amendment No. 1 Thereto Requiring Certain NASD Member Firms to Participate in the Integrated, Industry-Wide, Year 2000 Tests |
SR-NASD-98-74 |
34-50713 |
Nov. 22, 2004 |
Order Granting Approval to Proposed Rule Change as Amended and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 5 Regarding NASD Rule 3110(f) Governing Predispute Arbitration Agreements with Customers
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34-42160 |
Nov. 19, 1999 |
Notice of Filing of Proposed Rule Change Relating to Amendments to NASD Rule 3110(f) Governing Use of Predispute Arbitration Agreements with Customers
Comments received are available for this notice. |
SR-NASD 98-67 and SR-NASD 98-56 |
34-40622 |
Oct. 30, 1998 |
Order Granting Approval to Proposed Rule Changes and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Thereto; Relating to the Combination of the American Stock Exchange, Inc. and the National Association of Securities Dealers, Inc., including Amendments to the Composition of the NASD Board and Relating to Policies Regarding Authority Over American Stock Exchange LLC and Composition of Board of Governors of American Stock Exchange LLC File Nos. SR-AMEX-98-32; SR-NASD 98-56; SR-NASD 98-67 |
SR-NASD-98-67 |
34-40443 |
Sep. 16, 1998 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Policies Regarding Authority Over American Stock Exchange LLC and Composition of Board of Governors of American Stock Exchange LLC |
SR-NASD-98-56 |
34-40615 |
Oct. 28, 1998 |
Order Granting Partial Approval to Proposed Rule Change Relating to the Small Firm Representative on NASD Board Portion of the Proposed Rule Change Relating to Amendment to Composition of NASD Board to Include Members of New Amex LLC and for Other Purposes |
34-40339 |
Aug. 19, 1998 |
Notice of Filing of Proposed Rule Change Relating to Amendment to Composition of NASD Board to Include Members of New Amex LLC and for Other Purposes |
SR-NASD-98-54 |
34-40354 |
Aug. 24, 1998 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Public and Non-Member Access to Nasdaq's SelectNet and SOES Systems through a Member Firm's Own System |
SR-NASD-98-26 |
34-40485 |
Sep. 25, 1998 |
Notice of Filing and Order Granting Accelerated Approval to Amendment No. 5 to a Proposed Rule Change to Institute, On a Pilot Basis, New Primary Nasdaq Market Maker Standards for Nasdaq National Market Securities |
34-40140 |
Jun. 26, 1998 |
Notice of Filing and Order Granting Accelerated Partial Approval to Amendment No. 4 to Proposed Rule Change to Institute, On a Pilot Basis, New Primary Nasdaq Market Maker Standards for Nasdaq National Market Securities |
34-39936 |
Apr. 30, 1998 |
Notice of Filing and Order Granting Accelerated Partial Approval to Amendment No. 3 to Proposed Rule Changes to Institute, On a Pilot Basis, New Primary Nasdaq Market Maker Standards for Nasdaq National Market Securities |
34-39819 |
Mar. 30, 1998 |
Notice of Filing and Order Granting Accelerated Partial Approval to Proposed Rule Change to Implement, On a Pilot Basis, New Primary Nasdaq Market Maker Standards For All Nasdaq National Market Securities and to Extend the Short Sale Rule Pilot
Use Adobe Acrobat® to view this file Comments received are available for this notice. |
SR-NASD-98-21 |
34-40211 |
Jul. 15, 1998 |
Order Approving a Proposed Rule Change to Permanently Expand the NASD's Rule Permitting Market Makers to Display Their Actual Quotation Size |
34-39760 |
Mar. 16, 1998 |
Notice of Proposed Rule Change Relating to an Expansion of the NASD's Rule Permitting Market Makers to Display Their Actual Quotation Size
Comments received are available for this notice. |
SR-NASD-98-20 |
34-39831 |
Apr. 6, 1998 |
Notice of Filing of Proposed Rule Change Relating to Permitting Qualified Vendors to Provide Confirmation and Affirmation Services to Institutional Customers |
SR-NASD-98-18 |
34-40005 |
May 19, 1998 |
Notice of Extension of Comment Period for Proposal Relating to Qualified Immunity in Arbitration Proceedings for Statements Made on Forms U-4 and U-5 |
34-39892 |
Apr. 21, 1998 |
Notice of Filing of Proposed Rule Change Relating to Qualified Immunity in Arbitration Proceedings for Statements Made on Forms U-4 and U-5 |
SR-NASD-98-17 |
34-39794 |
Mar. 25, 1998 |
Notice of Extension of the Comment Period for the Proposed Rule Change Relating to an Integrated Order Delivery and Execution System
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34-41296 |
Apr. 15, 1999 |
Notice of Filing of Proposed Rule Change to Modify its Small Order Execution System and SelectNet Service; Reopening of Comment Period on Nadsaq's Limit Order Book Proposal
Comments received are available for this notice.
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34-39718 |
Mar. 4, 1998 |
Notice of Filing of Amendment No. 1 to a Proposed Rule Change Relating to an Integrated Order Delivery and Execution System
Comments received are available for this notice. |
http://www.sec.gov/rules/sro/nasd/nasdarchive/nasdarchive1998.shtml
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