2004 Rule Filings

SR-NASD-2004-189   Proposed Rule Change to Amend Rule 7010(k)
SR-NASD-2004-183   Proposed New Rule 2821 Regarding Transactions in Deferred Variable Annuities
SR-NASD-2004-180   Proposed Rule Change to Extend the Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Relating to the California Waiver Program Until September 30, 2005
SR-NASD-2004-179   Proposed Rule Change to Amend Section 13 of Schedule A to the NASD By-Laws to Adjust the Review Charge for Advertisement, Sales Literature, and Other Such Materials Filed With or Submitted to NASD
SR-NASD-2004-178   Proposed Rule Change to Amend Section 13 of Schedule A to the NASD By-Laws to Adjust the Review Charge for Advertisement, Sales Literature, and Other Such Material Filed With or Submitted to NASD
SR-NASD-2004-177   Proposed Rule Change To Amend Section 7 of Schedule A to the NASD By-Laws to Adjust Fees for Filing Documents Pursuant to the Corporate Financing Rule
SR-NASD-2004-176   Proposed Rule Change to Extend Through June 30, 2005, the Current Pilot Price-Improvement Standards for Decimalized Securities Contained in NASD Interpretive Material 2110-2 - Trading Ahead of Customer Limit Order
SR-NASD-2004-175   Proposed Rule Change to Repeal NASD Rule 3110(b)(1), Rule 3210, Rule 3370(b) and Rule 11830 in Light of SEC Regulation SHO
SR-NASD-2004-174   Proposed Amendment to Rule 2212 (Telemarketing) Regarding the Frequency of Updates from the National Do-Not-Call Registry
SR-NASD-2004-171   Amendments to Rule 2340 (Customer Account Statements)
SR-NASD-2004-165   Proposed Rule Change Relating to NASD Rule 2790
SR-NASD-2004-164   Proposed Rule Change to Amend Rule 10308 of the NASD Code of Arbitration Procedure to Change the Method Used by the Neutral List Selection System
SR-NASD-2004-163   Extension of Pilot for Bond Trade Dissemination Service ("BTDS") Professional Delayed-Time Data Display Fee
SR-NASD-2004-160   Proposed Rule Change To Extend Operation of NASD's Alternative Display Facility as a Temporary Pilot
SR-NASD-2004-159   Proposed Rule Change to Allow NASD to Review on a Pilot Basis Denial of Access Complaints Related to the Alternative Display Facility
SR-NASD-2004-153   Options Position Limits - Exemption for OTC Derivatives Dealers
SR-NASD-2004-148   Proposed Amendment to TRACE Rule 6250 (Dissemination of Transaction Information); Filed for Immediate Effectiveness)
SR-NASD-2004-145   Amendments to Schedule 4 to the NASD By-Laws (Fees for Qualification Examinations)
SR-NASD-2004-141   Amendments to NASD Rule 2711 to Prohibit Participation by Research Analysts in Road Shows
SR-NASD-2004-137   Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Amendments to the OATS Rules to Require that ECNs Capture Routed Order Identifier Information
SR-NASD-2004-136   Treatment of Commodity Pool Trail Commissions under Rule 2810
SR-NASD-2004-135   Disclosure and Consent Requirements When Trading on a Net Basis With Customers
SR-NASD-2004-133   Proposed Amendments to Rule 9522
SR-NASD-2004-130   Amendments to Rule 2320(g) and Rule 3110(b)(2) Relating to Foreign Securities
SR-NASD-2004-129   Proposed Rule Change Relating to Section 3 of Schedule A to the NASD By-Laws; Filed for Immediate Effectiveness
SR-NASD-2004-126   Extension of Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Regarding Waiver of California Arbitrator Disclosure Standards; Immediate Effectiveness Requested
SR-NASD-2004-123   Proposal to Delete Rule Series 3400 and IM-2210-4(b) as Obsolete
SR-NASD-2004-122   Arbitrator Web Literacy
SR-NASD-2004-121   Amendments to NASD's Minor Rule Violation Plan
SR-NASD-2004-116   Amendments to Supervisory Control and Inspection Procedures Rules
SR-NASD-2004-115   Amendments to Reduce the Fee for the Regulatory Element of Continuing Education Program
SR-NASD-2004-112   Proposed Extension of the Pilot Relating to Manning Price-Improvement Standards for Decimals
SR-NASD-2004-111   Amendments to Supervisory Control and Inspection Procedures Rules
SR-NASD-2004-110   Amendments to NASD, NASD Regulation, and NASD Dispute Resolution By-Laws Relating to Divestiture of American Stock Exchange
SR-NASD-2004-108   Treatment of Commodity Pool Trail Commissions under Rule 2810
SR-NASD-2004-100   Amendments to the Rule 9600 Series; Filed for Immediate Effectiveness
SR-NASD-2004-098   Proposed Amendments to Eliminate Exemptions from the Continuing Education Regulatory Element Requirements
SR-NASD-2004-095   Policy to Conduct Fingerprint-based Background Checks of NASD Employees and Independent Contractors
SR-NASD-2004-094   Proposed Amendments to TRACE Rule 6250 and Related TRACE Rules to Disseminate Transaction Information on All TRACE-Eligible Securities and Facilitate Dissemination
SR-NASD-2004-093   To Establish a Revised Effective Date For Amendments to Order Audit Trail System Rules Relating to Execution Reports
SR-NASD-2004-089   Proposed Amendments to Require Price Improvement to Limit Orders in Certain Circumstances
SR-NASD-2004-088   Discovery Sanctions Rule; Accelerated Effectiveness Requested
SR-NASD-2004-087   Technical Amendment to Section 4 of Schedule A to the NASD By-Laws and to Rule 10308(d) of the NASD Code of Arbitration Procedure; Filed for Immediate Effectiveness
SR-NASD-2004-084   Proposal to Amend Rule 2860-Options Rules
SR-NASD-2004-078   Amendment to NASD Rule 1022 to Establish Qualification Requirements for Supervisors of Research Analysts
SR-NASD-2004-058   Proposed Amendments to Rule 11870 Relating to Non-Standard Transfers of Customer Account Assets
SR-NASD-2004-057   Proposed Amendment to Reduce the Reporting Period for Transactions in TRACE-Eligible Securities
SR-NASD-2004-049   Series 86/87 Examination and Development Fees
SR-NASD-2004-045   Proposed Amendments to Require Market Order Protection
SR-NASD-2004-044   Proposed Amendments Relating to Short Sale Delivery Requirements
SR-NASD-2004-043   Disclosure of Fees and Expenses in Mutual Fund Performance Sales Material
SR-NASD-2004-042   Proposed Foreign Hearing Location Rule
SR-NASD-2004-040   Extension of Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Regarding Waiver of California Arbitrator Disclosure Standards; Immediate Effectiveness Requested
SR-NASD-2004-039   Reducing the Time for Chairperson Selection
SR-NASD-2004-031   To Establish Effective Date for NASD Rule 3370, Affirmative Determination Requirements
SR-NASD-2004-027   Proposed Amendment to Rule Relating to Execution of Investment Company Portfolio Transactions
SR-NASD-2004-026   Proposed Amendments to Rule 2320(a), NASD's Best Execution Rule
SR-NASD-2004-025   Amendments to NASD's Minor Rule Violation Plan
SR-NASD-2004-023   Amendments to Order Audit Trail System Rules Relating to Execution Reports
SR-NASD-2004-022   Shelf Offering Amendments
SR-NASD-2004-020   Amendment to NASD Rule 1050 Related to Registration and Qualification of Research Analysts
SR-NASD-2004-017   Series 86/87 Examination Program
SR-NASD-2004-016   Online Arbitration Claim Filing Pilot Program
SR-NASD-2004-014   Proposed Rule Change to Adopt Interpretative Material 3150 ("IM-3150") to Establish Exemptions from the Reporting Requirements of NASD Rule 3150
SR-NASD-2004-013   Reorganization and Revision of NASD Mediation Rules
SR-NASD-2004-012   Proposed Rule Change to Extend Operation of NASD's Alternative Display Facility as a Temporary Pilot
SR-NASD-2004-011   Reorganization and Revision of NASD Arbitration Rules Relating to Industry Disputes
SR-NASD-2004-010   To Establish Effective Date for NASD Rule 1050, Registration of Research Analysts
SR-NASD-2004-005   Proposed Rule Change to Amend NASD Rule 2370
SR-NASD-2004-003   To Establish Effective Date for Recently Amended Provisions of NASD Rule 2711(h)(2)
SR-NASD-2004-002   Amendments to Alternative Display Facility Rules to Require Advance Written Notice of Denial of Direct or Indirect Electronic Access
SR-NASD-2004-001   Proposal to Increase the Fee for Panel Member Training