National Association of Securities Dealers (NASD) Rulemaking
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-40745 | Dec 3, 1998 | SR-NASD-09-75 | National Association of Securities Dealers (NASD) | Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change and Amendment No. 1 Thereto by National Association of Securities Dealers, Inc. Requiring Certain NASD Member Firms To Participate in the Integrated, Industry- Wide, Year 2000 Tests |
| 34-40627 | Nov 2, 1998 | SR-NASD-97-89, SR-NASD-97-89, Amendment No. 1 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Bond Mutual Fund Volatility Ratings |
| 34-40622 | Oct 30, 1998 | SR-Amex-98-32, SR-NASD-98-56, SR-NASD-98-67 | American Stock Exchange (Amex), National Association of Securities Dealers (NASD) | Order Granting Accelerated Approval to Amendment No. 2 Thereto; Relating to the Combination of the American Stock Exchange, Inc. and the National Association of Securities Dealers, Inc., Including Amendments to the Composition of the NASD Board and Relating to Policies Regarding Authority Over American Stock Exchange LLC and Composition of Board of Governors of American Stock Exchange LLC See Also - Rel. No. 34-40615, Rel. No. 34-40443, Rel. No. 34-40339, Rel. No. 34-49425 |
| 34-40615 | Oct 28, 1998 | SR-NASD-98-56 | National Association of Securities Dealers (NASD) | Order Granting Partial Approval to Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to the Small Firm Representative on NASD Board Portion of the Proposed Rule Change Relating to Amendment to Composition of NASD Board to Include Members of New Amex LLC and for Other Purposes See Also - Rel. No. 34-40622, Rel. No. 34-40339 |
| 34-40592 | Oct 22, 1998 | SR-NASD-98-77 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Central Registration Depository Fees |
| 34-40511 | Sep 30, 1998 | SR-NASD-97-61 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change and Amendments Nos. 1 and 2 by the National Association of Securities Dealers, Inc., Relating to the Application of NASD's Mark-up Policy to Transactions In Government And Other Debt Securities View Received Comments |
| 34-40485 | Sep 25, 1998 | SR-NASD-98-26 | National Association of Securities Dealers (NASD) | Notice of Filing and Order Granting Accelerated Approval to Amendment No. 5 to a Proposed Rule Change by the National Association of Securities Dealers, Inc. to Institute, on a Pilot Basis, New Primary Nasdaq Market Maker Standards for Nasdaq National Market Securities View Received Comments See Also - 34-40140, 34-39936, 34-39819 |
| 34-40443 | Sep 16, 1998 | SR-NASD-98-67 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc. Relating to Policies Regarding Authority Over American Stock Exchange LLC and Composition of Board of Governors of American Stock Exchange LLC See Also - Rel. No. 34-40622 |
| 34-40354 | Aug 24, 1998 | SR-NASD-98-54 | National Association of Securities Dealers (NASD) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc. Relating to Public and Non-member Access to Nasdaq's SelectNet and SOES Systems through a Member Firm's Own System |
| 34-40339 | Aug 19, 1998 | SR-NASD-98-56 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Amendment to Composition of NASD Board To Include Members of New Amex LLC and for Other Purposes See Also - Rel. No. 34-40622, Rel. No. 34-40615 |