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Home > Rules & Regulation > Rule Filings > 2004 Rule Filings
Printer-Friendly Last Updated: 9/5/06 2004 Rule Filings

Rule filings are not effective until approved by the Securities and Exchange Commission (SEC), with the exception of certain limited types of rule filings that may take effect upon filing with the SEC if they meet the conditions specified under Section 19 of the Securities Exchange Act of 1934 (Exchange Act). In addition, some rule filings may be followed by amendments that modify the original filing.

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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