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:34-56645 | SEC Issue Date:Oct 11, 2007 | File Number:SR-NASD-2005-080 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing of Amendment No. 4 and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment Nos. 1, 2, 3 and 4 Relating to Fairness Opinions View Received Comments See Also - Rel. No. 34-53598 |
| Release Number:34-56639 | SEC Issue Date:Oct 11, 2007 | File Number:SR-NASD-2007-035 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing of Proposed Rule Change Related to Mandated Use of an Automated Liability Notification System See Also - Rel. No. 34-56972 |
| Release Number:34-56540 | SEC Issue Date:Sep 26, 2007 | File Number:SR-NASD-2006-109 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Order Approving Proposed Rule Change as Modified by Amendment Nos. 1 and 2 Thereto Relating to Representation of Parties in Arbitration and Mediation View Received Comments See Also - Rel. No. 34-55604, Request for Immediate Stay of Effective Date of Approval Order, Rel. No. 34-57028 |
| Release Number:34-56504 | SEC Issue Date:Sep 24, 2007 | File Number:SR-NASD-2007-055 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Order Approving Proposed Rule Change Relating to Interpretative Material 9216, Violations Appropriate for Disposition Under Plan Pursuant to SEC Rule 19d-1(c)(2) See Also - Rel. No. 34-56175 |
| Release Number:34-56375A | SEC Issue Date:Sep 14, 2007 | File Number:SR-NASD-2004-183 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing of Amendment Nos. 3 and 4 and Order Granting Accelerated Approval of the Proposed Rule, as Amended, Related to Sales Practice Standards and Supervisory Requirements for Transactions in Variable Annuities View Received Comments See Also - 34-56375, Rel. Nos. 34-54023, 34-52191, Rel. No. 34-52046A |
| Release Number:34-56375 | SEC Issue Date:Sep 7, 2007 | File Number:SR-NASD-2004-183 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing of Amendment Nos. 3 and 4 and Order Granting Accelerated Approval of the Proposed Rule, as Amended, Related to Sales Practice Standards and Supervisory Requirements for Transactions in Deferred Variable Annuities View Received Comments See Also - Rel. Nos. 34-56375A, Rel. Nos. 34-54023, 34-52191, Rel. No. 34-52046A |
| Release Number:34-56347 | SEC Issue Date:Aug 31, 2007 | File Number:SR-NASD-2007-056 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Establish a Membership Waive-In Process for Certain NYSE Member Organizations See Also - Rel. No. 34-56653 |
| Release Number:34-56314 | SEC Issue Date:Aug 23, 2007 | File Number:SR-NASD-2007-051 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASD Rule 7002B To Establish Fees for the Transfer of Transaction Fees Through the NASD/Nasdaq Trade Reporting Facility |
| Release Number:34-56297 | SEC Issue Date:Aug 21, 2007 | File Number:SR-NASD-2007-041 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing of Proposed Rule Change To Amend the Minimum Price-Improvement Standards Set Forth in NASD IM 2110-2, Trading Ahead of Customer Limit Order View Received Comments See Also - Rel. No. 34-58532, Rel. No. 34-58114 |
| Release Number:34-56285 | SEC Issue Date:Aug 17, 2007 | File Number:SR-NASD-2007-049 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASD Rule 3013 and Accompanying Interpretive Material 3013 View Received Comments |