Rule Filings

Rule Filing Numbersort descending Title
SR-NASD-2006-011 Proposed Amendments to Rule 2211 Regarding Principal Pre-Use Approval of Member Correspondence
SR-NASD-2006-012 Proposed Amendments to IM-2110-2 to Clarify the Application of the Manning Rule to Non-Market Makers
SR-NASD-2006-025 Proposed Amendment to Rule 2860 to Extend a Pilot Program
SR-NASD-2006-029 Proposed Amendments to Rule 6530 to Clarify the Removal Process for the Securities of OTCBB Issuers
SR-NASD-2006-035 Proposed Amendments to IM-2110-2 to Clarify the Application of the Manning Rule to Non-Market Makers
SR-NASD-2006-036 Proposed Rule Change to Amend NASD Interpretive Material 3013
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-2006-038 Proposed Amendments to Rule 1013 to Adopt a Standardized New Member Application Form
SR-NASD-2006-039 Proposed Amendments to Rules Regarding Trading and Quotation Halts in OTC Equity Securities
SR-NASD-2006-040 Proposed Amendments to Expand NASD's Current Order Audit Trail System (OATS) Exemptive Authority to Include Recording Requirements
SR-NASD-2006-044 Proposal to Adopt New IM-3060 to Require Members to Adopt Written Policies and Procedures Concerning Business Entertainment
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-2006-046 Technical Amendments to Rule 3080 Regarding Disclosures to Associated Persons When Signing Form U-4
SR-NASD-2006-050 Proposed Rule Change to Extend Operation of NASD's Alternative Display Facility as a Temporary Pilot
SR-NASD-2006-052 Rule Change to Revise the Effective Date of Certain Amendments to NASD's Order Audit Trail System Rules
SR-NASD-2006-055 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-2006-060 Proposal to Adopt Rule 3170 Regarding Electronic Filing of All Regulatory Notices or Documents as Specified by NASD
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-2006-063 Amendment to Section 8 of Schedule A to NASD By-Laws to Increase the Service Charge for Processing Extension of Time Requests
SR-NASD-2006-064 Proposal to Adopt New NASD Rule 3160 Relating to Extension of Time Requests
SR-NASD-2006-065 Proposed Rule Change to Amend Schedule A to the NASD By-Laws Regarding Branch Office Fees
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-2006-069 Proposed Rule Change Extending the Pilot Relating to Manning Price-Improvement Standards for Decimals.
SR-NASD-2006-070 Proposed Rule Change Relating to Amendment to the Safe Harbor For Business Expansions
SR-NASD-2006-071 Proposed Rule Change Relating to Technical Amendments to Rule 3210

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