2007 Rule Filings

SR-FINRA-2007-042   Proposed Rule Change to Amend Rule 12302 of the Customer Code and Rule 13302 of the Industry Code to Remove the Page Limit on Statements of Claim Filed through the Online Arbitration Claim Filing System
SR-FINRA-2007-041   Proposed Rule Change to Amend NASD Rule 7001B to Adjust Percentage of Market Data Revenue Shared with FINRA/Nasdaq TRF Participants
SR-FINRA-2007-040   Proposed Rule Change to Delay the Effective Date of Certain FINRA Rule Changes Approved in SR-NASD-2004-183
SR-FINRA-2007-039   Proposed Rule Change to Establish an Exemption for Certain Regulation NMS-Compliant Intermarket Sweep Orders from the Requirements in IM-2110-2 and Rule 2111
SR-FINRA-2007-038   Proposed Rule Change to Delay the Final Implementation Date of the Rule Changes Approved in SR-NASD-2005-146
SR-FINRA-2007-037   Proposed Rule Change to Amend FINRA's NYSE Rule 409(f) Regarding Confirmations
SR-FINRA-2007-036   Proposed Rule Change to Make Technical Amendments to the U4 and U5 and Branch Office Forms
SR-FINRA-2007-035   Proposed Amendments to Options Supervision Requirements
SR-FINRA-2007-034   Proposed Rule Change Relating to Dissemination of Trade Reports for OTC Equity Securities Transactions of Fewer Than 100 Shares
SR-FINRA-2007-033   Revisions to the Series 82 Examination Program
SR-FINRA-2007-032   Revisions to the Series 72 Examination Program
SR-FINRA-2007-031   Revisions to the Series 62 Examination Program
SR-FINRA-2007-030   Revisions to the Series 55 Examination Program
SR-FINRA-2007-029   Revisions to the Series 42 Examination Program
SR-FINRA-2007-028   Revisions to the Series 24 Examination Program
SR-FINRA-2007-027   Revisions to the Series 23 Examination Program
SR-FINRA-2007-026   Proposed Rule Change to Adopt a FINRA Policy to Expand Disseminated Transaction Reporting and Compliance Engine ("TRACE") Data
SR-FINRA-2007-025   Proposed Rule Change to Amend FINRA's NYSE Rules 421, 440F and 440G to Conform with Changes by the NYSE to its Versions of Rules 421, 440F and 440G
SR-FINRA-2007-024   Proposed Rule Change to Amend NASD Rule 2320 Regarding Best Execution and Interpositioning
SR-FINRA-2007-023   Proposed Rule Change to Delay Implementation of Certain Rule Changes Approved in SR-NASD-2005-146
SR-FINRA-2007-022   Proposed Amendment to FINRA's NYSE Rule 342.13 Regarding the Series 9/10 and Series 24 Examinations
SR-FINRA-2007-021   The Proposal is Amending Rules 12206 and 12504 of the Customer Code and Rules 13206 and 13504 of the Industry Code to Address Motions to Dismiss and to Amend the Provision of the Eligibility Rule Related to Dismissals
SR-FINRA-2007-020   Proposed Rule Change to Amend NASD Rule 2210 to Create an Exception from the Principal Approval Requirements for Certain Filed Sales Material
SR-FINRA-2007-019   Proposed Rule Change to Amend the Definition of Member Organization in FINRA NYSE Rule 2
SR-FINRA-2007-018   Proposed Rule Change Relating to Dissemination of Trade Reports for OTC ADRs and Canadian Issues
SR-FINRA-2007-017   Proposed Rule Change to Amend Rules Relating to Reporting of Odd-Lot Transactions to FINRA
SR-FINRA-2007-016   Proposed Rule Change to Reflect the Closing of the NASD/BSE Trade Reporting Facility
SR-FINRA-2007-015   Proposed Rule Change to Amend NASD Rules 4632E, 6130E, 6140E and 6160E
SR-FINRA-2007-014   Proposed Rule Change to Amend NASD Interpretative Material 2210-4
SR-FINRA-2007-013   Proposed Rule Change Relating to Amendments to NASD Rule 3210 (Short Sale Delivery Requirements)
SR-FINRA-2007-012   Proposed Rule Change to Amend Trade Reporting Rules to Require Related Market Center Indicator on Certain Non-Tape Reports Submitted to FINRA
SR-FINRA-2007-011   Proposed Rule Change to Amend NASD Rule 2711 and NYSE Rule 472
SR-FINRA-2007-010   Proposed Rule Change to Amend an Exemption to NASD Rule 1050 and NYSE Rule Interpretation 344/02
SR-FINRA-2007-009   Proposed Rule Change to Modernize and Simplify NASD Rule 2720
SR-FINRA-2007-008   Proposed Rule Change to Amend the Definition of Office of Supervisory Jurisdiction ("OSJ") in NASD Rule 3010(g)(1)
SR-FINRA-2007-007   Proposed Rule Change Regarding Exemption from TRACE Trade Reporting Requirements
SR-FINRA-2007-006   Proposed Rule Change Regarding Historic TRACE Data
SR-FINRA-2007-005   Proposed Rule Change to Amend NASD Rule 11870 and New York Stock Exchange Rule 412
SR-FINRA-2007-004   Proposed Rule Change to Amend NASD Rules 1021 and 1031 Regarding Registration Requirements
SR-FINRA-2007-003   Proposed Rule Change to Amend NASD Rules 4632C, 6130C and 6130
SR-FINRA-2007-002   Proposed Amendment of Rule 2860 to Extend a Pilot Program Increasing Certain Options Position and Exercise Limits
SR-FINRA-2007-001   Proposed Rule Change to Amend NASD Rule 6952 to Exclude Certain Orders and Transactions in Foreign Equity Securities from the Order Audit Trail System Recording and Reporting Requirements
SR-NASD-2007-057   Proposed Rule Change to Amend an Exemption to Rule 1050 for Certain Foreign Research Analysts
SR-NASD-2007-056   Proposed Rule Change to Establish a Membership Waive-in Process for Certain NYSE Member Organizations
SR-NASD-2007-055   Proposed Amendment to NASD IM-9216 to Expand the List of Violations Eligible for Disposition Under NASD's Minor Rule Violation Plan
SR-NASD-2007-054   Proposed Rule Change to Incorporate Certain NYSE Rules Relating to Member Firm Conduct
SR-NASD-2007-053   Proposed Rule Change to Amend the Restated Certificate of Incorporation of NASD to Accommodate the Consolidation of the Member Firm Regulatory Functions of NASD and NYSE Regulation, Inc. and to Conform the Certificate to the Amended NASD By-Laws
SR-NASD-2007-052   Proposed Rule Change to NASD Rule 9700 Series Regarding Procedures on General Grievances Related to NASD Automated Systems
SR-NASD-2007-051   Proposed Rule Change to Amend NASD Rule 7002B to Establish Fees for the Transfer of Transaction Fees Through the NASD/Nasdaq Trade Reporting Facility
SR-NASD-2007-050   Proposed Amendment to Rule 2711 Regarding a Member's Disclosure and Supervisory Review Obligations when Distributing Third-Party Research
SR-NASD-2007-049   Proposed Rule Change to Amend NASD Rule 3013 and Accompanying IM-3013
SR-NASD-2007-048   Proposed Rule Change to Amend NASD Rule 2210 (Communications with the Public)
SR-NASD-2007-047   Proposed Rule Change Relating to Amendments to Certain NASD Rules and Repeal of NASD Short Sale Rules in Light of Amendments to SEC Rule 10a-1 and Regulation SHO
SR-NASD-2007-046   Proposed Rule Change to Allow NASD Members to Use the NASD/Nasdaq Trade Reporting Facility to Process Transaction Fees Charged by One Member to Another Member
SR-NASD-2007-045   Proposed Rule Change Extending the Portfolio Margin Pilot Program Set Forth in Rule 2520(g)
SR-NASD-2007-044   Proposed Rule Change to Amend Rule 2860 Regarding the Delta Hedging Exemption from Equity Options Position Limits
SR-NASD-2007-043   Proposed Rule Change to Amend NASD Rule 7001C to Increase Percentage of Market Data Revenue Shared with NASD/NSX TRF Participants
SR-NASD-2007-042   Proposed Rule Change to Delay the Implementation Date of IM 2210-4, Which Requires Certain Member Firms to Provide a Hyperlink to www.nasd.com
SR-NASD-2007-041   Proposed Amendments to NASD IM-2110-2 (Trading Ahead of Customer Limit Order)
SR-NASD-2007-040   Proposed Rule Change Relating to Clearing Reports for Previously Executed Trades
SR-NASD-2007-039   Proposed Rule Change to Delay Implementation of Certain NASD Rule Changes Approved in SR-NASD-2005-146
SR-NASD-2007-038   The Proposal Amends the Arbitration Codes to Clarify That, for Purposes of the Codes, the Term Member Includes any Broker or Dealer Admitted to Membership in a Self-Regulatory Organization That, with NASD Consent, has Required its Members to Arbitrate Pursuant to the Codes and/or be Treated as Members of NASD for Purposes of the Codes
SR-NASD-2007-037   Proposed Rule Change to Amend NASD Rules to Extend the Closing Time of the NASD/NYSE Trade Reporting Facility to 8:00 p.m.
SR-NASD-2007-036   Proposed Amendment to NASD Rule 2342 (SIPC Information)
SR-NASD-2007-035   Proposed Amendment to Rule 11810(i) to Mandate Use of Automated Liability Notification System of Registered Clearing Firm
SR-NASD-2007-034   A Proposed Rule Change to Create New NASD Rule 1160 (Contact Information Requirements) to Require Members to Verify Required Contact Information, As Well As Update Promptly, and Comply Promptly with any Request For, Such Information
SR-NASD-2007-033   Proposed Rule Change to Extend for an Additional Two-year Period, to June 23, 2009, NASD's Authority Under the Cease and Desist Pilot Program
SR-NASD-2007-032   Proposed Rule Change to Adopt New Rule 5150 and Amend Rule 9610 to Provide NASD With Authority to Exempt Members From Certain New NASD Trade Reporting Requirements
SR-NASD-2007-031   Proposed Rule Change to Amend NASD Rule 7001E to Increase Percentage of Market Data Revenue Shared with NASD/NYSE TRF Participants
SR-NASD-2007-030   Proposed Rule Change to Amend NASD Rule 6620 Relating to Trade Reporting Obligations for Transactions in Foreign Equity Securities
SR-NASD-2007-029   Proposed Rule Change to Amend NASD Rule 6540(c) Relating to Access Fee Display Requirements
SR-NASD-2007-028   Proposed Rule Change to Amend Rules 6951 and 6954 Regarding the Order Audit Trail System
SR-NASD-2007-027   Temporary Program to Allow Member Firms to Voluntarily Submit Accumulated Funds to NASD
SR-NASD-2007-026   Proposed Amendment to the Customer, Industry and Mediation Codes to Implement Technical Changes to the Three New Codes Prior to the Effective Date of the Customer and Industry Codes
SR-NASD-2007-025   Proposed Rule Change to Adopt New NASD Rule 7000E Series Relating to the NASD/NYSE Trade Reporting Facility
SR-NASD-2007-024   Technical Amendment to Rule 2520 (Margin Requirements)
SR-NASD-2007-023   Proposed Rule Change to Amend the By-Laws of NASD to Implement Governance and Related Changes to Accommodate the Consolidation of the Member Firm Regulatory Functions of NASD and NYSE Regulation, Inc.
SR-NASD-2007-022   The Proposed Rule Change Amends the NASD Code of Mediation Procedure. The Proposal is Concerned Solely with the Administration of NASD in That it Renumbers the Rules, Updates Cross References, and Reinserts Rule Language That had Been Reserved
SR-NASD-2007-021   The Proposal Amends the Definition of Public Arbitrator under the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Add an Annual Revenue Limitation
SR-NASD-2007-020   Proposed Rule Change to Revise the Implementation Date of Previously Proposed Amendments to NASD Rules 4632(f) and 6130(e)
SR-NASD-2007-019   Proposed Rule Change to Revise the Effective Date of Amendments to NASD's Order Audit Trail System Rules
SR-NASD-2007-018   Proposed Rule Change to Amend the NASD Rule 7000 Series to Delete References to Systems and Services That Will No Longer Be Provided by NASD
SR-NASD-2007-017   Proposed Rule Change to Amend NASD Rule 7010A Relating to the Alternative Display Facility Quotation Update Fee
SR-NASD-2007-016   Proposed Rule Change to Amend NASD Rules 4632C and 4632D to Reflect "As/Of" Trade Reporting and the Automated Reporting of Trade Cancellations to the NASD/NSX Trade Reporting Facility and the NASD/BSE Trade Reporting Facility
SR-NASD-2007-015   A Proposed Rule Change to NASD Rules 1012 and 1013 to Require Applicants for Membership to Apply for Membership in the Manner NASD Prescribes
SR-NASD-2007-014   Proposed Rule Change to Make Conforming Changes to the Rules Relating to the NASD/NSX TRF, NASD/BSE TRF and NASD/NYSE TRF Consistent with the New Requirements of Regulation NMS
SR-NASD-2007-013   Amendments to Rules 2520 and 2860 to Adopt a Portfolio Margin Pilot Program
SR-NASD-2007-012   Proposal Relating to Implementation of Certain Approved NASD Rule Changes Upon the Operation of the Nasdaq Stock Market LLC for Non-Nasdaq Exchange-Listed Securities
SR-NASD-2007-011   Proposed Rule Change Relating to a New NASD Trade Reporting Facility Established in Conjunction with NYSE Market, Inc.
SR-NASD-2007-010   Proposed Rule Change to Amend NASD Rule 7010 to Modify Pricing for NASD Members Using the ITS/CAES System and Inet Facility
SR-NASD-2007-009   Proposed Rule Change Relating to Extension of NASD's Short Sale Rule Contained in Rule 5100 and Short Sale Standard Contained in IM-5100
SR-NASD-2007-008   Proposed Rule Change to Extend the Pilot Periods for NASD Rules 4613A(b) and 5140 until January 25, 2008
SR-NASD-2007-007   Proposed Amendment to Rule 2860 to Extend a Pilot Program Increasing Certain Options Position and Exercise Limits
SR-NASD-2007-006   Proposed Rule Change to NASD By-Laws Relating to Fees for Filing Documents Pursuant to Rule 2710
SR-NASD-2007-005   Proposed Rule Change Relating to Operating NASD's Alternative Display Facility on a Permanent Basis
SR-NASD-2007-004   Proposed Rule Change to Amend NASD Rule 7010(k) Relating to Transaction Reporting and Compliance Engine (TRACE) Transaction Data and Data Fees
SR-NASD-2007-003   Proposed Rule Change to Adopt New NASD Rule 7000D Series Relating to Fees and Credits for the NASD/BSE Trade Reporting Facility
SR-NASD-2007-002   Proposed Rule Change to Make Conforming Changes to the NASD/Nasdaq Trade Reporting Facility Rules Consistent with the New Requirements of Regulation NMS
SR-NASD-2007-001   Proposed Rule Change to Amend NASD Rules 4130A, 4300A, 4613A, 4617A, and 4632A Regarding the Alternative Display Facility