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:34-55819 | SEC Issue Date:May 25, 2007 | File Number:SR-NASD-2007-033 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Extension of NASD's Authority Under the Cease and Desist Pilot Program |
| Release Number:34-55810 | SEC Issue Date:May 24, 2007 | File Number:SR-NASD-2007-034 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing of Proposed Rule Change 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. 34-56179 |
| Release Number:34-55806 | SEC Issue Date:May 23, 2007 | File Number:SR-NASD-2007-028 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Order Audit Trail System See Also - Rel. No. 34-56003 |
| Release Number:34-55765 | SEC Issue Date:May 15, 2007 | File Number:SR-NASD-2006-044 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Interpretive Material to NASD Rule 3060 To Require Members To Adopt Policies and Procedures Addressing Business Entertainment View Received Comments |
| Release Number:34-55759 | SEC Issue Date:May 15, 2007 | File Number:SR-NASD-2007-032 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding NASD's Exemptive Authority Relating to Regulation NMS Trade Reporting Requirements |
| Release Number:34-55745 | SEC Issue Date:May 11, 2007 | File Number:SR-NASD-2007-030 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trade Reporting Obligations for Transactions in Foreign Equity Securities View Received Comments |
| Release Number:34-55737 | SEC Issue Date:May 10, 2007 | File Number:SR-NASD-2006-124 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing of Amendment Nos. 1 and 2 to, and Order Granting Accelerated Approval of, a Proposed Rule Change as Modified by Amendment Nos. 1 and 2 To Require the Provision of Certain Information About the Securities Investor Protection Corporation to Customers View Received Comments See Also - Rel. No. 34-54871 |
| Release Number:34-55717 | SEC Issue Date:May 7, 2007 | File Number:SR-NASD-2007-029 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing of Proposed Rule Change Relating to Access Fee Display Requirements for the OTCBB View Received Comments |
| Release Number:34-55703 | SEC Issue Date:May 3, 2007 | File Number:SR-NASD-2007-026 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Implement Technical Changes to the Customer, Industry and Mediation Codes |
| Release Number:34-55697 | SEC Issue Date:May 2, 2007 | File Number:SR-NASD-2007-027 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing of Proposed Rule Change to NASD By-Laws Relating to SEC Section 31-Related Fees View Received Comments See Also - Rel. No. 34-55886 |