Securities and Exchange Commission
Document Headings Document headings vary by document type but may contain the following: the agency or agencies that issued and signed a document the number of the CFR title and the number of each part the document amends, proposes to amend, or is directly related to the agency docket number / agency internal file number the RIN which identifies each regulatory action listed in the Unified Agenda of Federal Regulatory and Deregulatory Actions See the Document Drafting Handbook for more details. Securities and Exchange Commission [Release No. 34-43863; File No. SR-NASD-99-53] I. Introduction On October 1, 1999, the National Association of Securities Dealers, Inc. (“NASD” or “Association”), through its wholly-owned subsidiary, the Nasdaq Stock Market, Inc. (“Nasdaq”), filed with the Securities and Exchange Commission (“SEC” or “Commission”), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act” or “Exchange Act”), [ 1 ] and Rule 19b-4 thereunder, [ 2 ] proposed rule changes to establish the Nasdaq Order Display Facility (“NODF”) and the Order Collector Facility (“OCF”) and to modify its primary trading platform, the Nasdaq National Market System (“NNMS”), collectively referred to as the SuperMontage proposal. On October 26 and October 29, 1999, respectively, Nasdaq filed Amendment Nos. 1 and 2 to the proposal. [ 3 ] The SuperMontage proposal and Amendment Nos. 1 and 2 were published for comment in the Federal Register on December 6, 1999. [ 4 ] On March 16, 2000, Nasdaq filed Amendment No. 3 to the proposal. [ 5 ] On March 23, 2000, Nasdaq filed Amendment No. 4 to the proposal, [ 6 ] which was published for comment in the Federal Register on March 30, 2000. [ 7 ] On May 19, 2000, Nasdaq filed Amendment No. 5 to the proposal; [ 8 ] on June 7, 2000, Nasdaq filed Amendment No. 6; [ 9 ] and on August 8, 2000, Nasdaq filed Amendment N…
Citation: 66 FR 8020
