2005 Rule Filings
| SR-NASD-2005-152 | Proposed Rule Change to Extend the Current Pilot Price-Improvement Standards for Decimalized Securities Contained in NASD Interpretive Material 2110-2 | |
| SR-NASD-2005-146 | Proposed Rule Change to Expand the Scope of IM-2110-2 (the "Manning Rule") | |
| SR-NASD-2005-144 | Proposed Rule Change to Add New NASD Rule 3380 Relating to Order Entry and Execution Practices | |
| SR-NASD-2005-139 | Proposed Rule Change to Amend Rule 2111 to Delete References to Rule 6440(f)(2) in Light of Recent Rule Change Repealing Rule 6440(f) | |
| SR-NASD-2005-135 | Proposed Amendments Relating to the Status of Former Registered Persons Serving in the Armed Forces of the United States | |
| SR-NASD-2005-134 | Proposed Amendments Relating to the Status of Registered Persons and Sole Proprietors Serving in the Armed Forces of the United States | |
| SR-NASD-2005-133 | Proposed Amendment to Section 4 of Schedule A to NASD By-Laws to Increase Certain Qualification Examination Fees | |
| SR-NASD-2005-132 | Proposed Amendment to Section 4 of Schedule A to NASD By-Laws to Increase the Session Fee for the Regulatory Element Continuing Education Program | |
| SR-NASD-2005-130 | Proposed Amendments to NASD Rule 6210(a), the Definition of "TRACE-eligible security," and NASD Rule 6260, the TRACE Notification Provision | |
| SR-NASD-2005-129 | Propose Rule Change to Exempt All Securities Included in the Nasdaq 100 Index From the Price Test Set Forth in NASD Rule 3350(a) | |
| SR-NASD-2005-124 | Proposed Rule Change to Repeal Rule 6440(f) | |
| SR-NASD-2005-121 | Proposed Rule Change Relating to Amendments to Rule 3012, Rule 3013, and IM-3013 | |
| SR-NASD-2005-120 | Proposed Amendments to Rule 6250 Regarding Dissemination of TRACE-eligible Securities Transactions | |
| SR-NASD-2005-117 | Proposal to Make Permanent Bond Mutual Fund Volatility Ratings Rules | |
| SR-NASD-2005-114 | Proposed Amendments for Rule 2810 Addressing Compensation Fees and Expenses in Public Offerings of REITs and DPPs | |
| SR-NASD-2005-112 | Proposed Rule Change to Amend NASD Rule 3360 Regarding Short Interest Reporting Requirements | |
| SR-NASD-2005-111 | Proposed Revisions to the Series 9/10 Examination Program | |
| SR-NASD-2005-110 | Proposed Revisions to the Series 6 Examination Program | |
| SR-NASD-2005-109 | Proposed Revisions to the Series 4 Examination Program | |
| SR-NASD-2005-104 | Proposed Rule Change to Extend the Provisions of NASD Rule 2210(c)(3) and Interpretive Material 2210-5 on a Pilot Basis | |
| SR-NASD-2005-103 | Proposed Rule Change to Amend NASD Rule 3110 | |
| SR-NASD-2005-101 | Proposed Rule Change to Amend NASD Rules 6951 and 6952 Regarding Order Audit Trail System Reporting | |
| SR-NASD-2005-100 | Proposed New Rule 2231 Regarding Transaction-Specific Disclosures for Customers in Debt Securities Transactions | |
| SR-NASD-2005-098 | Proposed Rule Change to Amend NASD Rule 6740 Regarding Submission of Rule 15c2-11 Information on Non-Nasdaq Securities | |
| SR-NASD-2005-097 | Proposed Amendment to Rule 2860 to Extend Pilot Program | |
| SR-NASD-2005-095 | Proposed Rule Change to Amend NASD Rule 6750 Relating to Non-Nasdaq OTC Equity Securities | |
| SR-NASD-2005-094 | Proposed Rule Change to Amend Rule 10308 of the NASD Code of Arbitration Procedure Relating to the Classification of Arbitrators | |
| SR-NASD-2005-093 | Proposed Rule Change Relating to Amendments to NASD Rule 3370 | |
| SR-NASD-2005-092 | Proposed Rule Change to Extend the Operation of NASD's Alternative Display Facility ("ADF") on a Pilot Basis | |
| SR-NASD-2005-089 | Proposed Rule Change Relating to NASD's Direct Authority for the Activities Related to or in Support of Trading in Over-the-Counter Equity Securities | |
| SR-NASD-2005-087 | Proposed Rule Change to Reflect Nasdaq's Separation from NASD Upon Nasdaq's Anticipated Approval as a National Securities Exchange | |
| SR-NASD-2005-086 | Proposed Rule Change to Amendment to Article VIII of the By-Laws, Relating to District Committees and District Nominating Committees | |
| SR-NASD-2005-085 | Proposed Rule Change to Extend the Pilot Relating to Manning Price-Improvement Standards for Decimals | |
| SR-NASD-2005-084 | Proposed Rule Change to Amend NASD Rule 3012 Regarding General Supervisory Requirements | |
| SR-NASD-2005-083 | Proposed Rule Change to Amend Rule 7010(k)(3) Relating to Definition of "Non-Professional" and Use of TRACE Transaction Data | |
| SR-NASD-2005-080 | Proposed Rule Change to Establish New NASD Rule 2290 Regarding Fairness Opinions | |
| SR-NASD-2005-079 | Proposed Rule change to Revise Rule 10322 of the NASD Code of Arbitration Procedure, which Pertains to Subpoenas and the Power to Direct Appearances | |
| SR-NASD-2005-074 | Proposed Rule Change to Amend Rule 7010(k)(3) Relating to Definition of "Non-Professional" and Use of TRACE Transaction Data | |
| SR-NASD-2005-070 | Proposed Rule Change to Rescind the Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Relating to the Waiver of the California Ethics Standards for Neutral Arbitrators in Contractual Arbitration | |
| SR-NASD-2005-067 | Proposed Rule Change to Rules 6530 and 7010 to Clarify the Availability of a Process to Review Eligibility Determinations Under Rule 6530 and to Adopt Service Based Fees for Issuers Quoted on the OTC Bulletin Board ("OTCBB") | |
| SR-NASD-2005-066 | Proposed Rule Change to Amend NASD Rule 3011 and Adopt New Related Interpretive Material, Specifically IM-3011-1 and IM-3011-2 | |
| SR-NASD-2005-064 | Proposed Amendment to IM-8210-2 | |
| SR-NASD-2005-063 | Proposed Rule Change to Amend NASD Rule 7010(k) | |
| SR-NASD-2005-061 | Proposed Rule Change to Extend for an Additional Two-Year Period NASD's Authority Under the Cease and Desist Pilot Program | |
| SR-NASD-2005-058 | Proposed Amendments to NASD Rules 3150 and 3230 | |
| SR-NASD-2005-053 | Proposed Rule Change to Delay Implementation Date of Revisions to the Series 4 Examination Program | |
| SR-NASD-2005-052 | Proposed Rule Change to Provide Payment to Arbitrators for Deciding Discovery-Related Motions Without a Hearing | |
| SR-NASD-2005-046 | Proposed Rule Change to Amend the Arbitration Fees Applicable to Certain Statutory Employment Discrimination Claims | |
| SR-NASD-2005-045 | Proposed Rule Change to Amend NASD Rule 3110(f)(2)(B) | |
| SR-NASD-2005-043 | Proposed Rule Change to Provide an Exemption From the Research Analyst Qualification Examination for Certain Associated Persons | |
| SR-NASD-2005-040 | Proposed Rule Change to Amend Rule 2860 | |
| SR-NASD-2005-033 | Proposed Amendment to Rule 3010(b)(2)(L) Relating to Taping Rule "Opt Out" and Exemption Provisions | |
| SR-NASD-2005-032 | Proposed Rule Change to Provide Written Explanations in Arbitration Awards Upon the Request of Customers or Associated Persons | |
| SR-NASD-2005-030 | Proposed Form BR (Uniform Branch Office form) Conforming Changes and Technical Revisions to the Form U4 and Form U5 | |
| SR-NASD-2005-026 | Proposed Rule change to Amend NASD Rule 7010(k) Relating to Transaction Reporting and Compliance Engine (TRACE) Transaction Data and Data Fees | |
| SR-NASD-2005-025 | Revisions to the Series 4 Examination Program | |
| SR-NASD-2005-023 | Proposed Rule Change Amends Rule 10316 and Adopts Rule 10408 of the NASD Code of Arbitration Procedure to Address Attorney Representation in Arbitration and Mediation | |
| SR-NASD-2005-022 | Proposed Rule Change to Provide an Exemption from the Research Analyst Qualification Examination for Certain Associated Persons Who Prepare Technical Research Reports | |
| SR-NASD-2005-021 | Guidance Regarding Members' Regulatory Transaction Fees | |
| SR-NASD-2005-015 | Proposed Revisions to the Series 55 Examination Program | |
| SR-NASD-2005-014 | Proposed Revisions to the Series 11 Examination Program | |
| SR-NASD-2005-011 | Proposed Rule Change to Rule 6530 to Limit the Eligibility for Quotation on the OTCBB | |
| SR-NASD-2005-007 | Proposed Rule Change to Amend the Code of Arbitration Procedure by Adopting a New Interpretive Material (IM) 10308 on Mediators Serving as Arbitrators | |
| SR-NASD-2005-005 | Proposed Rule 2342 Requiring Members to Provide Customers with SIPC's Web Site and Telephone Number | |
| SR-NASD-2005-004 | Proposed Amendment to Rule 3010(a)(7) to Require Registered Principals to Attend Annual Compliance Meetings | |
| SR-NASD-2005-001 | Proposed Rule Change to Amend NASD Rule 3360 in Light of the SEC Regulation SHO |