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Home > Rules & Regulation > Rule Filings > 2005 Rule Filings
Printer-Friendly Last Updated: 12/27/05 2005 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‑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‑2005‑092	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