| Rule Filing
|
Date
|
Purpose
|
SR-NASD-2002-183
Notice & Approval
|
12/31/02
|
Fees: Proposal to Establish Non-refundable Application Fees and to Modify the Listing Fee Schedules for Rights and the Entry and Annual Fees for The NASDAQ SmallCap Market
Affected Marketplace Rules: 4510 and 4520
|
SR-NASD-2002-141
Amendment 1
Notice
Amendment 2
Amendment 3
Amendment 4
Amendment 5
Bulletin to Issuers
Approval
|
10/09/02
03/11/03
03/17/03
07/15/03
10/09/03
10/15/03
10/29/03
11/04/03
11/04/03
|
Board Independence and Committees: Proposal to Modify the Definition of “Independent Director”
Affected Marketplace Rules: 4200(a)(14), 4200(a)(15), 4350(c), 4350(d) and IM-4350-4
|
SR-NASD-2002-140
Notice
Amendment 2
Amendment 3
Approval
|
10/11/02
03/24/03
06/23/03
06/30/03
|
Shareholder Approval: Proposal to Clarify Shareholder Approval Rules Regarding Stock Option Plans and Other Equity Arrangements
Affected Marketplace Rules: 4310(c)(17). 4320(e)(15), 4350(i)(1)(A) and IM-4350-5
|
SR-NASD-2002-139
Amendment 1
Notice
Amendment 2
Bulletin to Issuers
Approval
|
10/09/02
01/15/03
07/02/03
10/03/03
11/04/03
11/04/03
|
Code of Conduct: Proposal to Require NASDAQ Issuers to Adopt Codes of Conduct
Affected Marketplace Rules: 4350(n) and IM-4350-7
|
SR-NASD-2002-138
Notice
Amendment 1
Amendment 2
Amendment 3
Bulletin to Issuers
Approval
|
10/08/02
07/02/03
08/15/03
10/09/03
10/23/03
11/04/03
11/04/03
|
Foreign Issuers: Proposal to Require the Disclosure of Exemptions
Affected Marketplace Rules: 4350(a) and IM-4350
|
SR-NASD-2002-089
Notice
Approval
|
12/03/02
01/14/03
|
Quantitative Listing Standards: Proposal to Modify Certain Entry and Continued Listing Standards
Affected Marketplace Rules: 4310, 4320, 4420 and 4550
|
SR-NASD-2002-085
Notice
Approval
Bulletin to Issuers
|
07/31/02
11/25/02
12/09/02
|
Disclosure Requirements: Proposal to Conform NASDAQ’s Disclosure of Material Information Requirements with SEC Regulation FD
Affected Marketplace Rules: 4120, IM-4120-1, 4310(c)(16) and 4320(e)(14)
|
SR-NASD-2002-080
Amendment 1
Notice
Amendment 2
Amendment 3
Bulletin to Issuers
Approval
|
06/11/02
12/30/02
07/08/03
10/02/03
10/03/03
11/04/03
11/04/03
|
Related Party Transactions: Proposal to Require Approval by Company’s Audit Committee or Comparable Body of the Board of Directors
Affected Marketplace Rule: 4350(h)
|
SR-NASD-2002-078
Notice & Approval
|
07/26/02
|
Disclosure Requirements: Proposal for the Explicit Prohibition on Misrepresenting Information to NASDAQ
Affected Marketplace Rule: 4330
|
SR-NASD-2002-077
Notice
Bulletin to Issuers
Approval
|
06/11/02
07/02/03
11/04/03
11/04/03
|
Disclosure Requirements: Proposal to Require Disclosure of Audit Opinions with a Going Concern Qualification
Affected Marketplace Rule: 4350(b)
|
SR-NASD-2002-045
Notice
Approval
|
05/13/02
06/25/02
|
Portfolio Depository Receipts and Index Fund Shares: Proposal to Establish Listing Standards
Affected Marketplace Rules: 4420(i), 4420(j) and 4540
|
SR-NASD-2002-020
Notice & Approval
|
03/01/02
|
Shareholder Approval: Proposal to Clarify the Shareholder Approval Rules and to Add Interpretative Material Regarding the Use of Share Caps
Affected Marketplace Rules: 4350(i), IM-4300 and IM-4310-2
|
SR-NASD-2002-016
Notice & Approval
|
02/11/02
|
Income: Proposal to Clarify Listing Standards
Affected Marketplace Rules: 4310(c)(2), 4320(e)(2) and 4420(a)
|
SR-NASD-2002-013
Press Release
Notice & Approval
|
12/12/01
02/04/02
|
Bid Price and Market Value: NASDAQ Reinstates Listing Standards and Proposes to Modify Compliance Periods for The SmallCap Market
Affected Marketplace Rules: 4310(c)(8), 4450(a)(6) and 4450(e)
|
|
