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:34-55638 | SEC Issue Date:Apr 16, 2007 | File Number:SR-NASD-2003-141 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Order Granting Approval to Proposed Rule Change Relating to Additional Mark-Up Policy for Transactions in Debt Securities, Except Municipal Securities View Received Comments See Also - Rel. No. 34-54799, Rel. No. 34-51338 |
| Release Number:34-55617 | SEC Issue Date:Apr 11, 2007 | File Number:SR-NASD-2007-022 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Technical Amendments to the Code of Mediation Procedure |
| Release Number:34-55604 | SEC Issue Date:Apr 9, 2007 | File Number:SR-NASD-2006-109 | 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 Representation of Parties in Arbitration and Mediation View Received Comments See Also - Rel. No. 34-56540, Request for Immediate Stay of Effective Date of Approval Order, Rel. No. 34-57028 |
| Release Number:34-55538 | SEC Issue Date:Mar 27, 2007 | File Number:SR-NASD-2007-018 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NASD Rule 7000 Series To Delete References To Systems and Services That Will No Longer Be Provided by NASD |
| Release Number:34-55526 | SEC Issue Date:Mar 26, 2007 | File Number:SR-NASD-2007-025 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New NASD Rule 7000E Series Relating to Fees and Credits for the NASD/NYSE Trade Reporting Facility |
| Release Number:34-55518 | SEC Issue Date:Mar 23, 2007 | File Number:SR-NASD-2007-024 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Portfolio Margin |
| Release Number:34-55495 | SEC Issue Date:Mar 20, 2007 | File Number:SR-NASD-2007-023 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing of 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 - Exhibit 5, Rel. No. 34-56145, Rel. No. 34-56145A |
| Release Number:34-55471 | SEC Issue Date:Mar 14, 2007 | File Number:SR-NASD-2007-013 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Portfolio Margin |
| Release Number:34-55440 | SEC Issue Date:Mar 9, 2007 | File Number:SR-NASD-2007-019 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise Effective Date of Amendments to NASD's Order Audit Trail System Rules |
| Release Number:34-55412 | SEC Issue Date:Mar 7, 2007 | File Number:SR-NASD-2007-015 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASD Rules 1012 (General Provisions) and 1013 (New Member Application and Interview) To Require an Applicant for Membership To Submit an Application in the Manner Prescribed by NASD |