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:34-55280 | SEC Issue Date:Feb 12, 2007 | File Number:SR-NASD-2007-003 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fees and Credits for the NASD/BSE Trade Reporting Facility |
| Release Number:34-55274 | SEC Issue Date:Feb 12, 2007 | File Number:SR-NASD-2007-012 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Implement Certain Approved NASD Rule Changes Upon the Operation of the Nasdaq Stock Market LLC for Non-Nasdaq Exchange-Listed Securities |
| Release Number:34-55245 | SEC Issue Date:Feb 5, 2007 | File Number:SR-NASD-2007-009 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Extension of NASD's Short Sale Rule Contained in Rule 5100 and Short Sale Standard Contained in IM-5100 View Received Comments |
| Release Number:34-55225 | SEC Issue Date:Feb 1, 2007 | File Number:SR-NASD-2007-007 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Program That Increases Position and Exercise Limits for Certain Equity Options |
| Release Number:34-55206 | SEC Issue Date:Jan 31, 2007 | File Number:SR-NASD-2007-008 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Periods for NASD Rules Governing Multiple MPIDs on the Trade Reporting Facilities and on the Alternative Display Facility |
| Release Number:34-55181 | SEC Issue Date:Jan 26, 2007 | File Number:SR-NASD-2007-005 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Operate the Alternative Display Facility on a Permanent Basis |
| Release Number:34-55180 | SEC Issue Date:Jan 26, 2007 | File Number:SR-NASD-2007-004 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing of a Proposed Rule Change to Amend NASD Rule 7010(k) Relating to Transaction Reporting and Compliance Engine Transaction Data See Also - Rel. No. 34-55409 |
| Release Number:34-55170 | SEC Issue Date:Jan 26, 2007 | File Number:SR-NYSE-2006-111, SR-NASD-2006-131, SR-Amex-2007-05 | SRO Organization:New York Stock Exchange LLC (NYSE), National Association of Securities Dealers (NASD), American Stock Exchange (Amex) |
Details: Notice of Filing of Proposed Rule Changes To Increase the Frequency of the Short Interest Reporting Requirements View Received Comments See Also - Rel. No. 34-55406 |
| Release Number:34-55158 | SEC Issue Date:Jan 24, 2007 | File Number:SR-NASD-2003-158, SR-NASD-2004-011 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Order Approving Proposed Rule Change and Amendments 1, 2, 3, and 4 to Amend NASD Arbitration Rules for Customer Disputes and Notice of Filing and Order Granting Accelerated Approval of Amendments 5, 6, and 7 thereto; Order Approving Proposed Rule Change and Amendments 1, 2, 3, and 4 to Amend NASD Arbitration Rules for Industry Disputes and Notice of Filing and Order Granting Accelerated Approval of Amendments 5, 6, and 7 thereto View Received Comments See Also - Rel. No. 34-51856, and comments received, Rel. No. 34-51857, and comments received |
| Release Number:34-55129 | SEC Issue Date:Jan 18, 2007 | File Number:SR-NASD-2006-137 | SRO Organization:National Association of Securities Dealers (NASD) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Pricing for NASD Members Using ITS/CAES System and Inet Facility |