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Printer-Friendly 2006 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‑2006‑137	Rule Change to Amend NASD Rule 7010 to Modify Pricing for NASD Members Using the ITS CAES System and Inet Facility, Which are Currently Operated by The Nasdaq Stock Market, Inc. and its Subsidiaries as Facilities of NASD
SR‑NASD‑2006‑136	The Proposed Rule Change Removes Unnecessary Cross References and Corrects a Grammatical Error in Rule 10308(a)(5)(B)
SR‑NASD‑2006‑135	Proposal Relating to Implementation of Certain Approved Rule Changes Reflecting the Complete Separation of Nasdaq from NASD
SR‑NASD‑2006‑134	Proposed Rule Change Extending the Pilot Relating to the Price-Improvement Standards for Decimalized Securities in IM-2110-2
SR‑NASD‑2006‑131	Proposed Rule Change to Increase the Frequency of the Short Interest Reporting Requirements Under Rule 3360
SR‑NASD‑2006‑129	Proposed Rule Change to Amend Rule 6130C of the NASD/NSX Trade Reporting Facility Rules to Require Use of a Special Indicator Denoting That Certain Transactions are Reported in Accordance with Section 3 of Schedule A to the NASD By-Laws
SR‑NASD‑2006‑128	Proposed Rule Change to Establish a New Effective Date For Amendments to NASD Rule 2340
SR‑NASD‑2006‑127	Proposed Rule Change to Adopt New NASD Rule 7000C Series Relating to Fees and Credits for the NASD/NSX Trade Reporting Facility
SR‑NASD‑2006‑125	Proposed Rule Change to Amend Rule 2220 to Update the Standards for Options Communications
SR‑NASD‑2006‑124	Proposed Rule 2342 Requiring Members to Provide Customers with SIPC's Web site and Telephone Number.
SR‑NASD‑2006‑121	Proposed Rule Change to Amend Rule 11890(b)(2) to Allow NASD to Designate Officers to Take Action Under the Rule with Respect to Clearly Erroneous Transactions
SR‑NASD‑2006‑120	Proposed Rule Change to Extend the Hours of Operations of the NASD/Nasdaq TRF, the OTC Reporting Facility and the Trade Reporting of Non-Nasdaq Exchange-Listed Securities under the Rule 6400 Series
SR‑NASD‑2006‑118	Proposed Rule Change to Extend the Date by which Eligible Registrants Must Complete Firm-Element Continuing Education to Qualify to Engage in a Security Futures Business
SR‑NASD‑2006‑115	Proposed Rule Change Relating to a New NASD Trade Reporting Facility Established in Conjunction with the Boston Stock Exchange
SR‑NASD‑2006‑113	Proposed Rule Change To Amend NASD Rules 1050 and 2711 Relating to Research Analyst Conflicts of Interest
SR‑NASD‑2006‑112	Proposed Rule Change to Amend NASD Rule 2711 to Codify Existing Interpretive Guidance Relating to Research Analyst Rules
SR‑NASD‑2006‑111	Proposed Rule Change to Amend the Citation to Section 19 of the Securities Exchange Act in NASD Rule 9559
SR‑NASD‑2006‑110	Proposed Amendment to Rule 6230 to Accommodate Anticipated Trading of Certain TRACE-Eligible Securities on NYSE's ABS, and Technical Amendments to Reflect the Registration of Nasdaq Stock Market, Inc. as a National Securities Exchange.
SR‑NASD‑2006‑109	The Proposed Rule Change Amends the Proposed Code of Arbitration Procedure for Customer Disputes and the Proposed Code of Arbitration Procedure for Industry Disputes and the NASD Code of Arbitration Procedure to Address Representation of Parties in Arbitration and Mediation.
SR‑NASD‑2006‑108	Proposed Rule Change Relating to a New NASD Trade Reporting Facility Established in Conjunction with the National Stock Exchange
SR‑NASD‑2006‑105	Proposed Rule Change to Amend NASD Rules 2210 and IM-2210-6 Regarding Investment Analysis Tools
SR‑NASD‑2006‑104	Proposed Rule Change to Reflect the Complete Separation of Nasdaq from NASD upon the Operation of Nasdaq as a National Securities Exchange for All Exchange-Listed Securities
SR‑NASD‑2006‑103	Proposed Rule Change to Adopt IM-6230 and Amend Rule 6250 Regarding Options, Swaps, and Similar Instruments and TRACE Requirements
SR‑NASD‑2006‑102	Proposed Rule Change to Amend Rule 10326 of the NASD Code of Arbitration Procedure to Allow for the Digital Recording of Arbitration Hearings.
SR‑NASD‑2006‑101	Proposed Rule Change to Provide for the Payment of a $200 Honorarium Per Case for each Arbitrator who Considers Contested Motions for the Issuance of Subpoenas.
SR‑NASD‑2006‑100	Proposed Amendment to Rule 2860 Regarding Option Disclosure Documents Delivery Requirements
SR‑NASD‑2006‑099	Proposed Amendments to the Procedures for Exercise of Options in Rule 2860
SR‑NASD‑2006‑098	Technical, Non-Substantive Amendments to Certain NASD Rules Approved in SR-NASD-2006-055 that were Amended by SR-NASD-2005-087
SR‑NASD‑2006‑097	Proposed Amendment to Rule 2860 to Extend a Pilot Program Increasing Certain Options Position and Exercise Limits.
SR‑NASD‑2006‑096	Proposed Rule Change to Amend NASD Rule 4613A and Adopt IM-4613A-1 Relating to Additional Market Participant Identifier Functionality on the Alternative Display Facility
SR‑NASD‑2006‑091	Amendments to NASD Rules to Align Them with Regulation NMS and to Allow for Quoting, Trade Reporting and Clearing Through the Alternative Display Facility for all NMS Stock.
SR‑NASD‑2006‑090	Proposed Rule Change to Adopt a Schedule of Fees and Credits for The Trade Reporting Facility LLC Established by NASD and The Nasdaq Stock Market, Inc.
SR‑NASD‑2006‑089	Proposed Rule Change to Amend NASD Rule 5100 (Short Sale Rule) to Allow Members to use, for a Transitional Period, the Nasdaq Exchange Best (inside) Bid Rather than the National Best (inside) Bid for Purposes of Application of the Rule
SR‑NASD‑2006‑088	A Proposed Rule Change to Adopt Rule 12504 of the Proposed Code of Arbitration Procedure for Customer Disputes ("Customer Code") and Rule 13504 of the Proposed Code of Arbitration Procedure for Industry Disputes ("Industry Code") to Address Motions to Decide Claims Before a Hearing on the Merits.
SR‑NASD‑2006‑087	Proposed Rule Change to Amend NASD Rule 5110 and to Make Technical, Non-Substantive Changes to Certain Other NASD Rules Amended by Approved Rule Change SR-NASD-2005-087
SR‑NASD‑2006‑086	Revisions to the Series 55 Examination Program.
SR‑NASD‑2006‑085	Revisions to the Series 39 Examination Program.
SR‑NASD‑2006‑084	Revisions to the Series 28 Examination Program.
SR‑NASD‑2006‑083	Revisions to the Series 27 Examination Program.
SR‑NASD‑2006‑082	Revisions to the Series 22 Examination Program.
SR‑NASD‑2006‑081	Proposed Rule Change to Adopt New NASD Rule 5150 to Require an NASD Member That is Registered as a Nasdaq Market Maker in a Non-Nasdaq Exchange-Listed Security to Comply with NASD Rule 5262 Relating to Trade-Throughs With Respect to that Security.
SR‑NASD‑2006‑076	Proposed Rule Change to Exempt All Securities Included in the NASDAQ 100 Index from the Price Test Set Forth in NASD Rule 5100 (Formerly Rule 3350)
SR‑NASD‑2006‑074	Amendments Relating to the Issuer-Directed Securities Exemption in NASD Rule 2790
SR‑NASD‑2006‑073	Proposed Rule Change to Amend Interpretive Material 2210-4 Regarding Hyperlinks to NASD's Web Site
SR‑NASD‑2006‑071	Proposed Rule Change Relating to Technical Amendments to Rule 3210
SR‑NASD‑2006‑070	Proposed Rule Change Relating to Amendment to the Safe Harbor For Business Expansions
SR‑NASD‑2006‑069	Proposed Rule Change Extending the Pilot Relating to Manning Price-Improvement Standards for Decimals.
SR‑NASD‑2006‑066	Proposal to Amend Rule 2340 to Relieve Members from the Requirement to Send Quarterly Account Statements to Customer Accounts that are Carried on a DVP/RVP Basis
SR‑NASD‑2006‑065	Proposed Rule Change to Amend Schedule A to the NASD By-Laws Regarding Branch Office Fees
SR‑NASD‑2006‑064	Proposal to Adopt New NASD Rule 3160 Relating to Extension of Time Requests
SR‑NASD‑2006‑063	Amendment to Section 8 of Schedule A to NASD By-Laws to Increase the Service Charge for Processing Extension of Time Requests
SR‑NASD‑2006‑062	Amendment to Rule 6957(c) to Revise the Effective Date for Recent Amendments to NASD's Order Audit Trail System Rules
SR‑NASD‑2006‑060	Proposal to Adopt Rule 3170 Regarding Electronic Filing of All Regulatory Notices or Documents as Specified by NASD
SR‑NASD‑2006‑055	Proposed Amendments to Section 3 of Schedule A to the NASD By-Laws to Require the Reporting of Transactions Subject to a Regulatory Transaction Fee in an Automated Manner
SR‑NASD‑2006‑052	Rule Change to Revise the Effective Date of Certain Amendments to NASD's Order Audit Trail System Rules
SR‑NASD‑2006‑050	Proposed Rule Change to Extend Operation of NASD's Alternative Display Facility as a Temporary Pilot
SR‑NASD‑2006‑046	Technical Amendments to Rule 3080 Regarding Disclosures to Associated Persons When Signing Form U-4
SR‑NASD‑2006‑045	Amendments to Rules 2520 and 2522 to Recognize Additional Complex Option Spread Strategies and Amend Provisions for Permitted Offsets
SR‑NASD‑2006‑044	Proposal to Adopt New IM-3060 to Require Members to Adopt Written Policies and Procedures Concerning Business Entertainment
SR‑NASD‑2006‑040	Proposed Amendments to Expand NASD's Current Order Audit Trail System (OATS) Exemptive Authority to Include Recording Requirements
SR‑NASD‑2006‑039	Proposed Amendments to Rules Regarding Trading and Quotation Halts in OTC Equity Securities
SR‑NASD‑2006‑038	Proposed Amendments to Rule 1013 to Adopt a Standardized New Member Application Form
SR‑NASD‑2006‑037	Extension of Effective Date of NASD Rule 3010(g)(2)(A) and IM-3010-1 (Uniform Branch Office Definition)
SR‑NASD‑2006‑036	Proposed Rule Change to Amend NASD Interpretive Material 3013
SR‑NASD‑2006‑035	Proposed Amendments to IM-2110-2 to Clarify the Application of the Manning Rule to Non-Market Makers
SR‑NASD‑2006‑029	Proposed Amendments to Rule 6530 to Clarify the Removal Process for the Securities of OTCBB Issuers
SR‑NASD‑2006‑025	Proposed Amendment to Rule 2860 to Extend a Pilot Program
SR‑NASD‑2006‑012	Proposed Amendments to IM-2110-2 to Clarify the Application of the Manning Rule to Non-Market Makers
SR‑NASD‑2006‑011	Proposed Amendments to Rule 2211 Regarding Principal Pre-Use Approval of Member Correspondence
SR‑NASD‑2006‑007	Proposed Amendments to Rule 2860 to Revise the Definition of the Term Underlying Index and Allow Members to Calculate Position Limits for Certain Conventional Equity Options
SR‑NASD‑2006‑005	Proposal to Expand the Scope of Rule 2440 and IM-2440 to Apply to All Securities Transactions with or for a Customer
SR‑NASD‑2006‑003	NASD is Filing Notice to Members 06-03, Which Provides Guidance Regarding the Application of New Rule 2111 Prohibiting Members from Trading Ahead of Customer Market Orders Under Certain Circumstances