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NASD Rulemaking
We encourage the public to submit comments on the following NASD filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.
Chronological List
Third Quarter | Second Quarter | First Quarter
NASD File Number List for 2008
Additional Archives
2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996
Release No. |
Date |
Details |
Third Quarter |
SR-NASD-2007-041 |
34-58532 |
Sep. 12, 2008 |
Order Approving Proposed Rule Change, as Modified by Amendment No. 2, to Amend the Minimum Price-Improvement Standards Set Forth in NASD Interpretive Material ("IM") 2110-2
See also: Notice: Rel. No. 34-58114; Notice: Rel. No. 34-56297
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SR-NASD-2007-041 |
34-58114 |
Jul. 7, 2008 |
Notice of Filing of Amendment No. 2 to Proposed Rule Change to Amend the Minimum Price-Improvement Standards Set Forth in NASD Interpretive Material (IM) 2110-2
Comments due: August 4, 2008
See also: Order: Rel. No. 34-58532; Notice: Rel. No. 34-56297
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Second Quarter |
SR-NASD-2006-005 |
34-57964 |
Jun. 13, 2008 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Expand the Scope of NASD Rule 2440 and Interpretive Material 2440-1 Relating to Fair Prices and Commissions to Apply to All Securities Transactions
See also: Notice: Rel. No. 34-53562
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SR-NASD-2007-023 |
34-56145A |
May 30, 2008 |
Order Approving 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.
See also: Order: Rel. No. 34-56145
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SR-NASD-2005-114 |
34-57803 |
May 8, 2008 |
Order Approving Proposed Rule Change and Amendment Nos. 1, 2, 3, and 4 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 5 Relating to the Regulation of Compensation, Fees and Expenses in Public Offerings of Real Estate Investment Trusts and Direct Participation Programs
Comments due: June 4, 2008
See also: Notice: Rel. No. 34-57199 and Notice: Rel. No. 34-54118
Comments received are available for this notice.
Submit comments on SR-NASD-2005-114
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SR-NASD-2007-052 |
34-57786 |
May 6, 2008 |
Order Approving Proposed Rule Change as Modified by Amendment No. 1, Relating to Amendments to the NASD Rule 9700 Series to Streamline the Procedural Rules Applicable to General Grievances Related to FINRA Automated Systems
See also: Notice: Rel. No. 34-57504
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SR-NASD-2007-043 |
34-57764 |
May 1, 2008 |
Order Approving Proposed Rule Change as Modified by Amendment No. 1 Thereto to Amend NASD Rule 7001C to Increase the Percentage of Market Data Revenue Shared with NASD/NSX TRF Participants
See also: Notice: Rel. No. 34-56752
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SR-NASD-2007-031 |
34-57763 |
May 1, 2008 |
Order Approving Proposed Rule Change as Modified by Amendment Nos. 1, 2 and 3 thereto to Amend NASD Rule 7001E to Increase the Percentage of Market Data Revenue Shared with NASD/NYSE TRF Participants
See also: Notice: Rel. No. 34-56754
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First Quarter |
SR-NASD-2007-052 |
34-57504 |
Mar. 14, 2008 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to the NASD Rule 9700 Series To Streamline the Procedural Rules Applicable to General Grievances Related to FINRA Automated Systems
Comments due: April 11, 2008
See also: Order: Rel. No. 34-57786
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SR-NASD-2007-021 |
34-57492 |
Mar. 13, 2008 |
Order Approving Proposed Rule Change to Amend the Definition of Public Arbitrator
See also: Notice: Rel. No. 34-56039
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SR-NASD-2005-114 |
34-57199 |
Jan. 25, 2008 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, 3 and 4 Relating to the Regulation of Compensation, Fees and Expenses in Public Offerings of Real Estate Investment Trusts and Direct Participation Programs
Comments due: February 21, 2008
See also: Order/Notice: Rel. No. 34-57803 and Notice: Rel. No. 34-54118
Comments received are available for this notice.
Submit comments on SR-NASD-2005-114
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http://www.sec.gov/rules/sro/nasd.shtml
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