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NASD Rulemaking Archive: 2008

As of July 30, 2007, NASD is now known as Financial Industry Regulatory Authority (FINRA) and new rule proposals will be listed under FINRA.

We encourage the public to submit comments on the following NASD 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 website.

Chronological List
Third Quarter | Second Quarter | First Quarter

NASD File Number List for 2008

Additional Archives


Chronological List
Release No. Date Details
Third Quarter

SR-NASD-2007-041
34-58532 Sep. 12, 2008 Order Approving Proposed Rule Change, as Modified by Amendment No. 2, to Amend the Minimum Price-Improvement Standards Set Forth in NASD Interpretive Material ("IM") 2110-2
See also:  Notice: Rel. No. 34-58114; Notice: Rel. No. 34-56297

SR-NASD-2007-041
34-58114 Jul. 7, 2008 Notice of Filing of Amendment No. 2 to Proposed Rule Change to Amend the Minimum Price-Improvement Standards Set Forth in NASD Interpretive Material (IM) 2110-2
Comments due:  August 4, 2008
See also:  Order: Rel. No. 34-58532; Notice: Rel. No. 34-56297
Second Quarter

SR-NASD-2006-005
34-57964 Jun. 13, 2008 Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Expand the Scope of NASD Rule 2440 and Interpretive Material 2440-1 Relating to Fair Prices and Commissions to Apply to All Securities Transactions
See also:  Notice: Rel. No. 34-53562

SR-NASD-2007-023
34-56145A May 30, 2008 Order Approving Proposed Rule Change To Amend the By-Laws of NASD To Implement Governance and Related Changes To Accommodate the Consolidation of the Member Firm Regulatory Functions of NASD and NYSE Regulation, Inc.
See also:  Order: Rel. No. 34-56145

SR-NASD-2005-114
34-57803 May 8, 2008 Order Approving Proposed Rule Change and Amendment Nos. 1, 2, 3, and 4 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 5 Relating to the Regulation of Compensation, Fees and Expenses in Public Offerings of Real Estate Investment Trusts and Direct Participation Programs
Comments due:  June 4, 2008
See also:  Notice: Rel. No. 34-57199 and Notice: Rel. No. 34-54118
Comments received are available for this notice.
* Submit comments on SR-NASD-2005-114

SR-NASD-2007-052
34-57786 May 6, 2008 Order Approving Proposed Rule Change as Modified by Amendment No. 1, Relating to Amendments to the NASD Rule 9700 Series to Streamline the Procedural Rules Applicable to General Grievances Related to FINRA Automated Systems
See also:  Notice: Rel. No. 34-57504

SR-NASD-2007-043
34-57764 May 1, 2008 Order Approving Proposed Rule Change as Modified by Amendment No. 1 Thereto to Amend NASD Rule 7001C to Increase the Percentage of Market Data Revenue Shared with NASD/NSX TRF Participants
See also:  Notice: Rel. No. 34-56752

SR-NASD-2007-031
34-57763 May 1, 2008 Order Approving Proposed Rule Change as Modified by Amendment Nos. 1, 2 and 3 thereto to Amend NASD Rule 7001E to Increase the Percentage of Market Data Revenue Shared with NASD/NYSE TRF Participants
See also:  Notice: Rel. No. 34-56754
First Quarter

SR-NASD-2007-052
34-57504 Mar. 14, 2008 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to the NASD Rule 9700 Series To Streamline the Procedural Rules Applicable to General Grievances Related to FINRA Automated Systems
Comments due:  April 11, 2008
See also:  Order: Rel. No. 34-57786

SR-NASD-2007-021
34-57492 Mar. 13, 2008 Order Approving Proposed Rule Change to Amend the Definition of Public Arbitrator
See also:  Notice: Rel. No. 34-56039

SR-NASD-2005-114
34-57199 Jan. 25, 2008 Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, 3 and 4 Relating to the Regulation of Compensation, Fees and Expenses in Public Offerings of Real Estate Investment Trusts and Direct Participation Programs
Comments due:  February 21, 2008
See also:  Order/Notice: Rel. No. 34-57803 and Notice: Rel. No. 34-54118
Comments received are available for this notice.
* Submit comments on SR-NASD-2005-114

 

http://www.sec.gov/rules/sro/nasd/nasdarchive/nasdarchive2008.shtml


Modified: 03/15/2010