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Financial regulation / Law / Government / Corporate crime / U.S. Securities and Exchange Commission / Securities Exchange Act / Self-regulatory organization / Financial Industry Regulatory Authority / Notice of electronic filing / United States securities law / 73rd United States Congress / United States Securities and Exchange Commission


Elisse B. Walter Executive V~cePres~dent Regulatory Pol~cyand Programs June 7,2004
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Document Date: 2004-06-10 16:25:20

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File Size: 674,87 KB

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City

Washington / D.C. / /

Company

C. SRO / Page 9 SRO / Effective-Upon-Filing SRO / NASD Regulation Inc. / NASD Dispute Resolution Inc. / Intermarket Trading Systems / /

Currency

USD / /

Event

Product Recall / Product Issues / /

/

IndustryTerm

web-based electronic filing technology / online manual / Web Posting / actual online manual / electronic web-based filing process / derivative securities products / electronic web-based system / proposed electronic web-based system / electronic communication systems / web site^.^ / securities future product / electronic web-based technology / communications projects / web-based system / electronic web-based filing system / proposed web-posting requirement / /

Organization

Board of Directors of NASD Regulation / NASD7sCorporate Communications Department / Communications Department / SEC Division of Market Regulation / Board of Governors / National Association of Securities Dealers / Securities and Exchange Commission / NASD / /

Person

Jonathan G. Katz June / Jonathan G. Katz / Barbara Z. Sweeney / /

/

Position

Vice President and Corporate Secretary / Secretary / Executive / /

Product

proposed rule change / such filings / /

ProgrammingLanguage

V / L / DC / /

Technology

electronic web-based technology / PDF / web-based electronic filing technology / /

URL

www.nasdcom / /

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