Rule Filings

Rule Filing Numbersort descending Title
SR-NASD-2004-115 Amendments to Reduce the Fee for the Regulatory Element of Continuing Education Program
SR-NASD-2004-116 Amendments to Supervisory Control and Inspection Procedures Rules
SR-NASD-2004-121 Amendments to NASD's Minor Rule Violation Plan
SR-NASD-2004-122 Arbitrator Web Literacy
SR-NASD-2004-123 Proposal to Delete Rule Series 3400 and IM-2210-4(b) as Obsolete
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-2004-129 Proposed Rule Change Relating to Section 3 of Schedule A to the NASD By-Laws; Filed for Immediate Effectiveness
SR-NASD-2004-130 Amendments to Rule 2320(g) and Rule 3110(b)(2) Relating to Foreign Securities
SR-NASD-2004-133 Proposed Amendments to Rule 9522
SR-NASD-2004-135 Disclosure and Consent Requirements When Trading on a Net Basis With Customers
SR-NASD-2004-136 Treatment of Commodity Pool Trail Commissions under Rule 2810
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-2004-141 Amendments to NASD Rule 2711 to Prohibit Participation by Research Analysts in Road Shows
SR-NASD-2004-145 Amendments to Schedule 4 to the NASD By-Laws (Fees for Qualification Examinations)
SR-NASD-2004-148 Proposed Amendment to TRACE Rule 6250 (Dissemination of Transaction Information); Filed for Immediate Effectiveness)
SR-NASD-2004-153 Options Position Limits - Exemption for OTC Derivatives Dealers
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-2004-160 Proposed Rule Change To Extend Operation of NASD's Alternative Display Facility as a Temporary Pilot
SR-NASD-2004-163 Extension of Pilot for Bond Trade Dissemination Service ("BTDS") Professional Delayed-Time Data Display Fee
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-2004-165 Proposed Rule Change Relating to NASD Rule 2790
SR-NASD-2004-171 Amendments to Rule 2340 (Customer Account Statements)
SR-NASD-2004-174 Proposed Amendment to Rule 2212 (Telemarketing) Regarding the Frequency of Updates from the National Do-Not-Call Registry
SR-NASD-2004-175 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-2004-176 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