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Taping Rule

05-46

Amendments to; 02-61; 01-38
TARS (see Trade Acceptance and Reconciliation Service)
Telemarketing

Alias, Use of; FYI, May 1998
Foreign Jurisdictions, Soliciting Business in; 00-02
Interpretive Material; 97-58
NASD Sanction Guidelines; 05-17

Rule Changes; 05-07; 04-15; 97-01; FYI, December 1996
United Kingdom, Soliciting Business in; 98-91
Temporary Account Transfers 06-31
Temporary Cease and Desist Orders (Rule Series 9800)

03-35
Tender Offers

Mini Tender Offers; 99-53
Terrorist Activity

FYI, November 2001; 01-67
Testing

International Delivery; FYI, June 2001
Third Market Trading

Rule Changes; 98-05

Third-Party Marketing Material

08-27

Third-Party Research Reports

08-16
Third-Party Service Providers 05-48
Three Quote Rule (NASD Rule 2320)

07-40; 00-84; 00-78; 97-88
Time and Price Discretion 04-71
TRACE (see Trade Reporting and Compliance Engine (TRACE))
Trade Acceptance and Reconciliation Service (TARS)

Automated Confirmation Transaction Service, Merger; 98-40
Trade Comparison and Reporting Service (TRACS) 04-68

Trade Reporting

TRN 8/14/08; TRN 3/18/08; TRN 2/19/08; 07-63; 07-46; 07-38; 07-25; 07-23; 06-67

Order-Routing and Execution Systems; 04-66

Pandemic Regulatory Relief; 06-31

PORTAL Securities; 01-19
Riskless Principal Transactions; 00-79; 99-66; 99-65
Reporting and Dissemination; 01-18
Supervision; 98-96
Trade Report Modifier; 99-66

Trade Reporting Facilities (TRF); TRN 8/14/08; TRN 2/19/08; 07-63; 07-46; 07-38; 07-31

Trade Reporting and Compliance Engine (TRACE)

Fees; 04-06; 02-81

Reportable Transactions; 07-61

TRACE Data; 08-52; 08-43

TRACE Eligible Securities; 08-52; 08-42

TRACE Rules (NASD Rule 6200 Series); TRN 7/28/08; TRN 7/1/08; 07-61; 07-21; 07-18; 07-15; 06-32; 06-22; 06-01; 05-37; 05-28; 05-05; 05-02; 04-65; 04-51; 04-39; 03-58; 03-45; 03-36; 03-22; 01-18
Transaction Reporting, TRACE-Eligible Securities; 07-61; 04-65; 03-22; 03-12; 02-76; 01-18
Trade Shredding 06-19

Trading

Annual Trade Date/Settlement Date Schedule; 04-87; 03-78; 02-84; 01-82; 00-88; 99-105; 98-106; 97-93; 96-90
Best Execution; 00-78
Compliance, Nasdaq Rules; 00-42; 97-49
Extended Hours; 00-07
Halts; 07-22; 07-09; 02-82; 01-47; 00-41; 99-69; 99-05; 98-26

Interest; 06-50
Just and Equitable Principles of Fair Trade; 02-64
Nasdaq National Market Execution System (NNMS); FYI, August 2000; 00-30
Primex Auction System; 00-65

Secondary Market; 08-54

Volume; 06-50

Trading Activity Fee

08-37; 06-44; 06-37; 05-61; 05-23; 05-03; 04-84; 04-01; 03-43; 02-63; 02-41
Trail Fees 04-50; 04-07

Training

Deferred Variable Annuities; 07-53; 04-45

Hedge Funds; 03-07

Registered Persons; 08-64

Transactions

Erroneous Transactions; 03-11; 00-10; 99-29; 98-21
Foreign Securities Transactions; 00-84
Municipal Securities; 04-95

Mutual Funds Transactions; 02-85

Reporting Exemption; 07-61
Riskless Principal Transactions; 00-79; 99-66; 99-65
SEC Fees; 04-63; 97-62; 96-81
Special Pricing Formula; 00-43
Selling Away and Outside Business Activities; 01-79
Transaction Accounts; 08-69

Transactions Reporting, Corporate Debt Securities; 07-21; 07-18; 06-22; 06-01; 05-77; 05-28; 05-21

Transaction Reporting, Electronic Communication Networks (ECNs); 03-69
Transaction Reporting, Foreign Securities; 08-51

Transaction Reporting, Municipal Securities; 03-13; 00-08
Transaction Reporting, TRACE-Eligible Securities; 08-52; 08-42; 07-21; 07-18; 06-32; 06-22; 06-01; 05-52; 05-37; 05-28; 05-05; 05-02; 04-65; 04-39; 03-58; 03-45; 03-22; 03-12; 02-76; 01-18
With NASD and Amex Employees; FYI, November 2002
Treasury, U.S. Department of

Auction Bidders; FYI, March 1998
E-mail Lists; FYI, December 1998
Information Requests; 02-80
"Limited Edition" Treasury Securities; 97-24
Office of Foreign Assets Control; FYI, November 2001; 01-67; 98-50; 98-20; 98-08; 97-87; 97-35; 97-04
Suspicious Activity Reporting Rule; 02-47
Web Site Link; FYI, August 1997
Tying Arrangements

02-64
Last Updated: 11/19/08