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OATS (see Order Audit Trail System)
Obsolete Rules 04-64

Odd-Lot Transactions

09-15; TRN 3/18/08; 07-63; 06-39
Office of Disciplinary Affairs

99-01
Office of Supervisory Jurisdiction 07-64; 07-12
Ombudsman

Clarification of Role; 99-97; 98-30
Online Communications

03-33; 01-23

Operations

Corporate Debt Securities; 07-21; 07-18; 07-15; 06-32

Pandemic Regulatory Relief; 06-31

Rules; 09-03; 04-51; 03-58; 03-45; 01-66
Transaction Reporting; 06-22; 06-01; 05-77; 05-52; 05-37; 05-28; 05-21; 05-05; 05-02; 04-66; 04-65; 04-39; 03-22; 03-12; 02-76

Options

08-78; 08-73; 08-28; IN 11/12/08; IN 5/15/08; 08-10; 08-09; 07-37

Adjustments; IN 11/12/08; 02-17

Binary; IN 8/26/08; IN 5/15/08
Cash and Margin Requirements; 01-11

Communications; 08-73

Compliance Registered Principal; 08-28

Delayed Start; IN 8/26/08; IN 5/15/08

Disclosure Document; IN 11/12/08; IN 8/26/08; IN 5/15/08
Exemption; 08-37; 08-04; 05-03; 04-01
Exercise Procedures; 06-51

Fixed-Return; IN 5/15/08

Hedge Positions; 03-19
Large Options Position Report Requirements; 09-47

Margin Requirements; 08-09; 07-14; 06-26

Obligations; 99-20
Options Self-Regulatory Council; 02-17

Options Symbology Initiative; 09-47
OTC; 06-39

Position-Limit Rule (NASD Rule 2860); 08-10; 07-37; 07-08; 07-03; 06-54; 06-46; 06-09; 05-56; 05-31; 05-06; 01-01; 99-20; 98-67; 98-49; 06-09

Range Options; IN 8/26/08

Registered Options and Security Futures Principal; 08-28

Reporting Requirements; 08-04; 05-77; 05-22

Senior Registered Options Principal; 08-28

Special Statement for Uncovered Options Writers; 06-54

Strategy-Based Index Options; IN 11/12/08

Structured Products; 05-59

Variability Index Options; IN 11/12/08

Violations of Options Position and Exercise Limits; 08-33

Order Audit Trail System (OATS)

Automated Confirmation Transaction Service, Integration; 98-82
Intermarket Sweep Orders; 07-39

Limit Orders; 00-26
OATS Reporting Technical Specifications; 99-04
Phase III Delay; FYI, August 2000; FYI, March 2000
Registration Requirements; 99-27; FYI, October 1998; 98-73
Reporting Requirements; 07-39; 06-17; 06-15; 05-78; 04-85; 04-69

Rule Changes; 04-80; 04-48; 02-31
Rule Guidance; 05-33; 04-46; 02-29
SEC Approval; 98-33
Order Executions

Statistical Information About; 01-16
Order Handling Volume-Weighted Average Price Transactions; 05-51
Order Handling Rules (SEC Rules 11Ac1-1 and 11Ac1-4)

Compliance Guidelines; 97-49
Implementation; FYI, December 1996
Interpretation; 97-57
Order Marking 05-33

Order Protection Rule

TRN 2/24/09
Order Routing and Execution Systems 04-66
OTC Bulletin Board

American Depositary Receipts (ADRs); 98-07
Direct Participation Program Directory; 97-23; 97-08
Direct Participation Programs, Quotation and Transaction Reporting; 97-08
Eligibility Rule; 99-76; 99-58; 99-43; 99-15; 98-14
Foreign Equities; 98-07
Limit Order Protection Principles; 01-46
Quotation Limitations; 99-15; 98-14
Recommendation and Disclosure Rules; 98-15
Trading Halts; 00-41

OTC Equity Securities

09-21; 09-08; 08-74; 08-66; TRN 3/18/08; 07-46; 07-22; 07-09

Bulletin Board; 08-34; IN 4/1/08

Customer Limit Order; 08-49

Eligibility Rule; 08-34

Recommendation and Disclosure Rules; 02-66; 98-15

Reporting Facility; 09-21; 09-08; TRN 8/14/08; IN 4/1/08; TRN 3/18/08; TRN 2/19/08; 07-63; 07-46; 07-38
Outside Business Activities

03-65; 01-79
Outsourcing 05-48

Over-the-Counter Derivatives Dealers

05-06