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NASD Rulemaking Archive: 1999
We encourage the public to submit comments on the following filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this web site.
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 1999
Additional Archives
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Release No. |
Date |
Details |
SR-NASD-99-53 |
34-42249 |
Dec. 17, 1999 |
Notice of Extension of the Comment Period for the Proposed Rule Change Relating to the Establishment of the Nasdaq Order Display Facility and Modifications of the Nasdaq Trading Platform
See also: Release No. 4-646; Orders: Rel. Nos. 34-46429, 34-43863; Notices: Rel. Nos. 34-43514, 34-43138, 34-42573, 34-42166
Comments received are available for this notice. |
SR-NASD-99-45 |
34-42240 |
Dec. 16, 1999 |
Notice of Filing of Proposed Rule Change Relating to Amendments to the Public Disclosure Program
See also: Order: Rel. No. 34-42402
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SR-NASD-99-48 |
34-42231 |
Dec. 14, 1999 |
Order Approving Proposed Rule Change Amending Its Audit Committee Requirements and Notice of Filing and Order Granting Accelerated Approval of Amendments No. 1 and No. 2 Thereto
See also: Notice: Rel. No. 34-41982
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SR-NASD-99-65 |
34-42201 |
Dec. 3, 1999 |
Notice of Filing of Proposed Rule Change Relating to the Creation of a Corporate Bond Trade Reporting and Transaction Dissemination Facility and the Elimination of Nasdaq's Fixed Income Pricing System ("FIPS")
See also: Notice: Rel. No. 34-43616
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SR-NASD-99-53 |
34-42166 |
Nov. 22, 1999 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to the Establishment of the Nasdaq Order Display Facility and Modifications of the Nasdaq Trading Platform
See also: Release No. 4-646; Orders: Rel. Nos. 34-46429, 34-43863; Notices: Rel. Nos. 34-43514, 34-43138, 34-42573, 34-42249,
Comments received are available for this notice. |
SR-NASD-98-74 |
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
See also: Order: Rel. No. 34-50713
Comments received are available for this notice. |
SR-NASD-99-57 |
34-42003 |
Oct. 13, 1999 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Relating to the Extension of Certain Nasdaq Services and Facilities Until 6:30 P.M. Eastern Time
Comments received are available for this notice. |
SR-NASD-99-48 |
34-41982 |
Oct. 6, 1999 |
Notice of Filing of Proposed Rule Change Amending Nasdaq's Audit Committee Requirements
See also: Order: Rel. No. 34-42231
Comments received are available for this notice. |
SR-NASD-99-07 |
34-41833 |
Sep. 2, 1999 |
Order Granting Approval to Proposed Rule Change Creating a Discovery Guide for Use in NASD Arbitrations
See also: Notice: Rel. No. 34-41302
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SR-NASD-99-20 |
34-41390 |
May 12, 1999 |
Notice of Filing of Proposed Rule Change Relating to Firm Quotation Requirements
Comments received are available for this notice. |
SR-NASD-99-16 |
34-41343 |
Apr. 28, 1999 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Agency Quotations and Access Fees
Comments received are available for this notice. |
SR-NASD-99-07 |
34-41302 |
Apr. 16, 1999 |
Notice of Filing of Proposed Rule Change Creating a Discovery Guide for Use in NASD Arbitrations
See also: Order: Rel. No. 34-41833
Comments received are available for this notice. |
SR-NASD-98-17 |
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
See also: Notice: Rel. No. 34-39794; Notice: Rel. No. 34-39718
Comments received are available for this notice. |
SR-NASD-99-09 |
34-41243 |
Apr. 1, 1999 |
Notice of Extension of Comment Period for Proposed Rule Change Relating to the Establishment of an Agency Quotation in Nasdaq
See also: Notice: Rel. No. 34-41243
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SR-NASD-99-09 |
34-41128 |
Mar. 2, 1999 |
Notice of Filing of Proposed Rule Change Relating to the Establishment of an Agency Quotation in Nasdaq
See also: Notice: Rel. No. 34-41243
Comments received are available for this notice. |
NASD File Number List for 1999 |
Release No. |
Date |
Details |
SR-NASD-99-75 |
34-42536 |
Mar. 16, 2000 |
Order Granting Approval to Proposed Rule Change Relating to ECN and ATS Participation in the ITS/CAES System |
SR-NASD-99-65 |
34-43616 |
Nov. 24, 2000 |
Notice of Filing of Amendment Nos. 2 and 3 to Proposed Rule Change Relating to the Creation of a Corporate Bond Trade Reporting and Transaction Dissemination Facility and the Elimination of Nasdaq's Fixed Income Pricing System
Comments received are available for this notice.
|
34-42201 |
Dec. 3, 1999 |
Notice of Filing of Proposed Rule Change Relating to the Creation of a Corporate Bond Trade Reporting and Transaction Dissemination Facility and the Elimination of Nasdaq's Fixed Income Pricing System ("FIPS")
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SR-NASD-99-60 |
34-48701 |
Oct. 24, 2003 |
Order Approving Proposed Rule Change and Amendment Nos. 1 through 4 Thereto and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 5 Thereto Relating to Restrictions on the Purchases and Sales of Initial Public Offerings of Equity Securities
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34-43267 |
Nov. 28, 2000 |
Notice of Filing of Amendment No. 2 to Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Trading in Hot Equity Offerings
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34-42325 |
Jan. 10, 2000 |
Notice of Filing of Proposed Rule Change Relating to Trading in Hot Equity Offerings
Comments received are available for this notice.
|
SR-NASD-99-57 |
34-42003 |
Oct. 13, 1999 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Relating to the Extension of Certain Nasdaq Services and Facilities Until 6:30 P.M. Eastern Time
Comments received are available for this notice. |
SR-NASD-99-53 |
34-46429 |
Aug. 29, 2002 |
Order with respect to the implementation of Nasdaq's Supermontage Facility See also: Release No. 4-646
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34-43863 |
Jan. 19, 2001 |
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")
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34-43514 |
Nov. 3, 2000 |
Notice of Filing of Amendment No. 8 to Proposed Rule Change Relating to the Establishment of Nasdaq Order Display Facility and to Modifications of the Nasdaq Trading Platform
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34-43138 |
Aug. 10, 2000 |
Notice of Filing of Amendment Nos. 5, 6, and 7 to Proposed Rule Change Relating to the Establishment of Nasdaq Order Display Facility and to Modifications of the Nasdaq Trading Platform
Comments received are available for this notice.
|
34-42573 |
Mar. 23, 2000 |
Notice of Filing of Amendment No. 4 to Proposed Rule Change Relating to the Establishment of Nasdaq Order Display Facility and to Modifications of the Nasdaq Trading Platform
Comments received are available for this notice.
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34-42249 |
Dec. 17, 1999 |
Notice of Extension of the Comment Period for the Proposed Rule Change Relating to the Establishment of the Nasdaq Order Display Facility and Modifications of the Nasdaq Trading Platform
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34-42166 |
Nov. 22, 1999 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to the Establishment of the Nasdaq Order Display Facility and Modifications of the Nasdaq Trading Platform
Comments received are available for this notice. |
SR-NASD-99-48 |
34-42231 |
Dec. 14, 1999 |
Order Approving Proposed Rule Change Amending Its Audit Committee Requirements and Notice of Filing and Order Granting Accelerated Approval of Amendments No. 1 and No. 2 Thereto |
34-41982 |
Oct. 6, 1999 |
Notice of Filing of Proposed Rule Change Amending Nasdaq's Audit Committee Requirements
Comments received are available for this notice. |
SR-NASD-99-45 |
34-42402 |
Feb. 7, 2000 |
Order Granting Approval to Proposed Rule Change Relating to Amendments to the Public Disclosure Program
|
34-42240 |
Dec. 16, 1999 |
Notice of Filing of Proposed Rule Change Relating to Amendments to the Public Disclosure Program
|
SR-NASD-99-41 |
34-43021 |
Jul. 10, 2000 |
Order Approving Proposed Rule Change and Amendment No. 1 and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 2 Relating to the Opening of Day-Trading Accounts
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34-42452 |
Feb. 23, 2000 |
Notice of Filing of Amendment No. 1 to the Proposed Rule Change Relating to the Opening of Day-Trading Accounts
Comments received are available for this notice. |
SR-NASD-99-23 |
34-42400 |
Feb. 7, 2000 |
Order Approving a Proposed Rule Change and Amendment No. 1 to the Proposed Rule Change Relating to Locked and Crossed Markets that Occur Prior to the Opening of the Market |
SR-NASD-99-20 |
34-41390 |
May 12, 1999 |
Notice of Filing of Proposed Rule Change Relating to Firm Quotation Requirements
Comments received are available for this notice. |
SR-NASD-99-16 |
34-41343 |
Apr. 28, 1999 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Agency Quotations and Access Fees Comments received are available for this notice. |
SR-NASD-99-09 |
34-41243 |
Apr. 1, 1999 |
Notice of Extension of Comment Period for Proposed Rule Change Relating to the Establishment of an Agency Quotation in Nasdaq
|
34-41128 |
Mar. 2, 1999 |
Notice of Filing of Proposed Rule Change Relating to the Establishment of an Agency Quotation in Nasdaq
Comments received are available for this notice. |
SR-NASD-99-07 |
34-41833 |
Sep. 2, 1999 |
Order Granting Approval to Proposed Rule Change Creating a Discovery Guide for Use in NASD Arbitrations |
34-41302 |
Apr. 16, 1999 |
Notice of Filing of Proposed Rule Change Creating a Discovery Guide for Use in NASD Arbitrations Comments received are available for this notice. |
http://www.sec.gov/rules/sro/nasd/nasdarchive/nasdarchive1999.shtml
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