Skip to search field Skip to main content

Official websites use .gov
A .gov website belongs to an official government organization in the United States.

Secure .gov websites use HTTPS
A lock () or https:// means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites.

Notice

Quick Links

empty


Release Number	SEC Issue Date	File Number	Details
34-39799	March 25, 1998	SR-NASD-97-26	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 - Rel. No. 34-40139 Federal Register version (63 FR 15467)
34-39774	March 19, 1998	SR-NYSE-98-05	Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc., Relating to the Reimbursement of Member Organizations for Costs Incurred in the Transmission of Proxy and Other Shareholder Communication Material Federal Register version (63 FR 14745)
34-39760	March 16, 1998	SR-NASD-98-21	Notice of Proposed Rule Change by the National Association of Securities Dealer, Inc., Relating to an Expansion of the NASD's Rule Permitting Market Makers To Display Their Actual Quotation Size View Received Comments See Also - Rel. No. 34-40211 Federal Register version (63 FR 13894)
34-39718	March 4, 1998	SR-NASD-98-17	Notice of Filing of Amendment No. 1 to a Proposed Rule Change by National Association of Securities Dealers, Inc., Relating to an Integrated Order Delivery and Execution System View Received Comments See Also - Rel. No.s 34-41296, 34-39794 Federal Register version (63 FR 12124)
34-39672	Feb. 17, 1998	SR-NYSE-98-04	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the New York Stock Exchange, Inc., Relating to the Reimbursement of Member Organizations for Costs Incurred in the Transmission of Proxy and Other Shareholder Communication Material Federal Register version (63 FR 9275)
34-39421	Dec. 10, 1997	SR-NASD-97-77	Self-Regulatory Commission Organizations; Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to the Arbitration of Employment Discrimination Claims Federal Register version (62 FR 66164)
34-39394	Dec. 3, 1997	SR-NYSE-97-31	Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the New York Stock Exchange, Inc. To Amend Its Rule 500 Relating to Voluntary Delistings by Listed Companies See Also - Rel. No. 34-40688 Federal Register version (62 FR 65116)
34-39371	Nov. 26, 1997	SR-NASD-97-47	Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Punitive Damages in Arbitration Federal Register version (62 FR 64428)
34-39110	Sept. 22, 1997	SR-NSCC-97-07	Notice of a Proposed Rule Change Relating to Changes in Membership Standards *Comments Due:* 21 days after publication in the Federal Register Federal Register version (62 FR 50978)
34-38545	April 24, 1997	SR-NASD-97-28	Notice of Filing of a Proposed Rule Change by the National Association of Securities Dealers, Inc. ("NASD') to Proposed Changes in the By-Laws of the NASD, NASD Regulation, Inc., The Nasdaq Stock Market, Inc., the Plan of Allocation and Delegation of Functions by the NASD to Subsidiaries, Membership Application Procedures, Disciplinary Proceedings, Other Proceedings, and Other Conforming Changes Federal Register version (62 FR 25226)
34-37809	Oct. 10, 1996	SR-NYSE-96-29	Notice of Filing of Proposed Rule Change Relating to Stock Distributions Federal Register version (61 FR 54476)
34-37800	Oct. 9, 1996	SR-DTC-96-15	Notice of Filing of an Amendment to a Proposed Rule Change Relating to the Procedures To Establish a Direct Registration System See Also - Rel. No. 34-37778 Federal Register version (61 FR 54473)
34-37778	Oct. 3, 1996	SR-DTC-96-15	Notice of Filing of Proposed Rule Change Relating to the Procedures to Establish a Direct Registration System See Also - Rel. No. 34-37800
34-36980	March 15, 1996	SR-NASD-95-63	Notice of Filing of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Regulating the Conduct of Broker/Dealers Operating on the Premises of a Financial Institution Federal Register version (61 FR 11913)
34-36720	Jan. 16, 1996	SR-NASD-95-42	Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to NAqcess System and Accompanying Rules of Fair Practice *Comments Due:* January 26, 1996 Federal Register version (61 FR 1655)
34-36548	Dec. 1, 1995	SR-NASD-95-42	Notice of Filing of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to NAqcess System and Accompanying Rules of Fair Practice Federal Register version (60 FR 63092)