National Association of Securities Dealers (NASD) Rulemaking
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-39760 | Mar 16, 1998 | SR-NASD-98-21 | National Association of Securities Dealers (NASD) | Notice of Proposed Rule Change by the National Association of Securities Dealer, Inc., Relating to an Expansion of the NASD's Rule Permitting Market Makers To Display Their Actual Quotation Size View Received Comments See Also - Rel. No. 34-40211 |
| 34-39729 | Mar 6, 1998 | SR-NASD-97-56 | National Association of Securities Dealers (NASD) | Order Approving Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 2, 3, 4, 5, and 6 to Proposed Rule Change to Amend Rule 3110 and to Adopt New Rules 6950 Through 6957 Relating to the Creation of an Order Audit Trail System |
| 34-39718 | Mar 4, 1998 | SR-NASD-98-17 | National Association of Securities Dealers (NASD) | Notice of Filing of Amendment No. 1 to a Proposed Rule Change by National Association of Securities Dealers, Inc., Relating to an Integrated Order Delivery and Execution System View Received Comments See Also - Rel. No.s 34-41296, 34-39794 |
| 34-39550 | Jan 14, 1998 | SR-NASD-96-51 | National Association of Securities Dealers (NASD) | Order Granting Accelerated Approval to Amendment Nos. 2, 3, and 4 to the Proposed Rule Change Relating to NASD Rule 11890 Regarding Clearly Erroneous Transactions |
| 34-39490 | Dec 24, 1997 | SR-NASD-97-50 | National Association of Securities Dealers (NASD) | Order Approving Proposed Rule Change By the NASD To Extend From 15 Seconds To 17 Seconds the Amount of Time a Market Maker Has To Update Its Quote After an Order Execution in SOES Before Being Required To Execute a Subsequent Order |
| 34-39423 | Dec 10, 1997 | SR-NASD-97-04 | National Association of Securities Dealers (NASD) | Order Granting Accelerated Approval to Amendment No. 2 Thereto Regarding Excused Market Maker Withdrawals and Reinstatements |
| 34-39421 | Dec 10, 1997 | SR-NASD-97-77 | National Association of Securities Dealers (NASD) | Self-Regulatory Commission Organizations; Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to the Arbitration of Employment Discrimination Claims |
| 34-39371 | Nov 26, 1997 | SR-NASD-97-47 | National Association of Securities Dealers (NASD) | Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Punitive Damages in Arbitration |
| 34-38545 | Apr 24, 1997 | SR-NASD-97-28 | National Association of Securities Dealers (NASD) | Notice of Filing of a Proposed Rule Change by the National Association of Securities Dealers, Inc. ("NASD') to Proposed Changes in the By-Laws of the NASD, NASD Regulation, Inc., The Nasdaq Stock Market, Inc., the Plan of Allocation and Delegation of Functions by the NASD to Subsidiaries, Membership Application Procedures, Disciplinary Proceedings, Other Proceedings, and Other Conforming Changes |
| 34-38156 | Jan 10, 1997 | SR-NASD-96-43 | National Association of Securities Dealers (NASD) | National Association of Securities Dealers, Inc.; Order Granting Partial Approval and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 1 to Proposed Rule Change Relating to Implementation of the Commission's Order Handling Rules |