National Association of Securities Dealers (NASD) Rulemaking
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Self-Regulatory Organization Rulemaking Table
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File Number
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SRO Organization
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Details
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| Release Number:34-67867 | SEC Issue Date:Sep 14, 2012 | File Number:SR-NASD-2005-100 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Withdrawal of Proposed Rule Change and Amendments Nos. 1, 2, 3 and 4 Thereto, To Require Members To Provide Customers in TRACE-Eligible Debt Securities With Additional, Transaction-Specific Disclosures and To Notify Customers of the Availability of a Disclosure Document View Received Comments See Also - Rel. No. 34-56661 |
| Release Number:34-63010 | SEC Issue Date:Sep 29, 2010 | File Number:SR-NASD-2003-140 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing of Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 Through 4, Relating to the Prohibition of Certain Abuses in the Allocation and Distribution of Shares in Initial Public Offerings ("IPOs") View Received Comments See Also - Rel. No. 34-61690, Rel. No. 34-51039, and Rel. No. 34-50896 |
| Release Number:34-61690 | SEC Issue Date:Mar 11, 2010 | File Number:SR-NASD-2003-140 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 3, Relating to the Prohibition of Certain Abuses in the Allocation and Distribution of Shares in Initial Public Offerings ("IPOs") View Received Comments See Also - Rel. No. 34-51039, and Rel. No. 34-50896, Rel. No. 34-63010 |
| Release Number:34-58532 | SEC Issue Date:Sep 12, 2008 | File Number:SR-NASD-2007-041 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: 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 View Received Comments See Also - Rel. No. 34-58114, Rel. No. 34-56297 |
| Release Number:34-58114 | SEC Issue Date:Jul 7, 2008 | File Number:SR-NASD-2007-041 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: 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 View Received Comments See Also - Rel. No. 34-58532, Rel. No. 34-56297 |
| Release Number:34-57964 | SEC Issue Date:Jun 13, 2008 | File Number:SR-NASD-2006-005 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: 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 View Received Comments See Also - Rel. No. 34-53562 |
| Release Number:34-56145A | SEC Issue Date:May 30, 2008 | File Number:SR-NASD-2007-023 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: 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. View Received Comments See Also - Rel. No. 34-56145 |
| Release Number:34-57803 | SEC Issue Date:May 8, 2008 | File Number:SR-NASD-2005-114 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: 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 View Received Comments See Also - Rel. No. 34-57199, Rel. No. 34-54118 |
| Release Number:34-57786 | SEC Issue Date:May 6, 2008 | File Number:SR-NASD-2007-052 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: 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 - Rel. No. 34-57504 |
| Release Number:34-57764 | SEC Issue Date:May 1, 2008 | File Number:SR-NASD-2007-043 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: 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 View Received Comments See Also - Rel. No. 34-56752 |