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:34-56279 | SEC Issue Date:Aug 17, 2007 | File Number:SR-NASD-2007-047 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Certain Rules in Light of Amendments to SEC Rule 10a-1 and Regulation SHO |
| Release Number:34-56207 | SEC Issue Date:Aug 6, 2007 | File Number:SR-NASD-2007-044 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing of Proposed Rule Change 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. 34-56916 |
| Release Number:34-56179 | SEC Issue Date:Aug 1, 2007 | File Number:SR-NASD-2007-034 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Order Approving Proposed Rule Change as Modified by Amendment No. 1 Creating NASD Rule 1160 (Firm Contact Information) Regarding the Reporting and Annual Review of Designated Contact Information to NASD View Received Comments See Also - Rel. No. 34-55810 |
| Release Number:34-56175 | SEC Issue Date:Jul 31, 2007 | File Number:SR-NASD-2007-055 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing of 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. 34-56504 |
| Release Number:34-56147 | SEC Issue Date:Jul 26, 2007 | File Number:SR-NASD-2007-054 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Incorporate Certain NYSE Rules Relating to Member Firm Conduct |
| Release Number:34-56146 | SEC Issue Date:Jul 26, 2007 | File Number:SR-NASD-2007-053 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Restated Certificate of Incorporation of National Association of Securities Dealers, Inc. |
| Release Number:34-56145 | SEC Issue Date:Jul 26, 2007 | 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. 34-55495, Rel. No. 34-56145A |
| Release Number:34-56124 | SEC Issue Date:Jul 24, 2007 | File Number:SR-NASD-2007-042 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation of NASD Interpretive Material 2210-4, which Requires Certain Member Firms to Provide a Hyperlink to http://www.nasd.com. |
| Release Number:34-56108 | SEC Issue Date:Jul 19, 2007 | File Number:SR-NASD-2007-045 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Extending the Portfolio Margin Pilot Program |
| Release Number:34-56103 | SEC Issue Date:Jul 19, 2007 | File Number:SR-NASD-2007-039 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay Implementation of Certain Changes to the Manning Rule View Received Comments |