National Association of Securities Dealers (NASD) Rulemaking
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 website.
Self-Regulatory Organization Rulemaking Table
|
File Number
|
SRO Organization
|
Details
|
||
|---|---|---|---|---|
| Release Number:34-57763 | SEC Issue Date:May 1, 2008 | File Number:SR-NASD-2007-031 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: 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 View Received Comments See Also - Rel. No. 34-56754 |
| Release Number:34-57504 | SEC Issue Date:Mar 14, 2008 | File Number:SR-NASD-2007-52 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: 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 See Also - Rel. No. 34-57786 |
| Release Number:34-57492 | SEC Issue Date:Mar 13, 2008 | File Number:SR-NASD-2007-021 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Order Approving Proposed Rule Change To Amend the Definition of Public Arbitrator View Received Comments See Also - Rel. No. 34-56039 |
| Release Number:34-57199 | SEC Issue Date:Jan 25, 2008 | File Number:SR-NASD-2005-114 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: 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 View Received Comments See Also - Rel. No. 34-57803, Rel. No. 34-54118 |
| Release Number:34-56972 | SEC Issue Date:Dec 14, 2007 | File Number:SR-NASD-2007-035 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Order Granting Approval of a Proposed Rule Change Related to Mandated Use of an Automated Liability Notification System See Also - Rel. No. 34-56639 |
| Release Number:34-56916 | SEC Issue Date:Dec 6, 2007 | File Number:SR-NASD-2007-044 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Expand the Class of Entities Permitted to Use the Delta Hedging Exemption from Equity Options Position Limits View Received Comments See Also - Rel. No. 34-56207 |
| Release Number:34-56754 | SEC Issue Date:Nov 6, 2007 | File Number:SR-NASD-2007-031 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto To Amend NASD Rule 7001E To Increase Percentage of Market Data Revenue Shared With NASD/NYSE TRF Participants View Received Comments See Also - Rel. No. 34-57763 |
| Release Number:34-56752 | SEC Issue Date:Nov 6, 2007 | File Number:SR-NASD-2007-043 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Amend NASD Rule 7001C To Increase Percentage of Market Data Revenue Shared With NASD/NSX TRF Participants View Received Comments See Also - Rel. No. 34-57764 |
| Release Number:34-56661 | SEC Issue Date:Oct 15, 2007 | File Number:SR-NASD-2005-100 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing of Proposed Rule Change and Amendment 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. 34-67867 |
| Release Number:34-56653 | SEC Issue Date:Oct 12, 2007 | File Number:SR-NASD-2007-056 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Order Approving Proposed Rule Change To Establish a Membership Waive-In Process for Certain NYSE Member Organizations See Also - Rel. No. 34-56347 |