Rule Filings

Rule Filing Numbersort ascending Title
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

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