Rule Filings

Rule Filing Numbersort ascending Title
SR-NASD-2004-078 Amendment to NASD Rule 1022 to Establish Qualification Requirements for Supervisors of Research Analysts
SR-NASD-2004-058 Proposed Amendments to Rule 11870 Relating to Non-Standard Transfers of Customer Account Assets
SR-NASD-2004-057 Proposed Amendment to Reduce the Reporting Period for Transactions in TRACE-Eligible Securities
SR-NASD-2004-049 Series 86/87 Examination and Development Fees
SR-NASD-2004-045 Proposed Amendments to Require Market Order Protection
SR-NASD-2004-044 Proposed Amendments Relating to Short Sale Delivery Requirements
SR-NASD-2004-043 Disclosure of Fees and Expenses in Mutual Fund Performance Sales Material
SR-NASD-2004-042 Proposed Foreign Hearing Location Rule
SR-NASD-2004-040 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-2004-039 Reducing the Time for Chairperson Selection
SR-NASD-2004-031 To Establish Effective Date for NASD Rule 3370, Affirmative Determination Requirements
SR-NASD-2004-027 Proposed Amendment to Rule Relating to Execution of Investment Company Portfolio Transactions
SR-NASD-2004-026 Proposed Amendments to Rule 2320(a), NASD's Best Execution Rule
SR-NASD-2004-025 Amendments to NASD's Minor Rule Violation Plan
SR-NASD-2004-023 Amendments to Order Audit Trail System Rules Relating to Execution Reports
SR-NASD-2004-022 Shelf Offering Amendments
SR-NASD-2004-020 Amendment to NASD Rule 1050 Related to Registration and Qualification of Research Analysts
SR-NASD-2004-017 Series 86/87 Examination Program
SR-NASD-2004-016 Online Arbitration Claim Filing Pilot Program
SR-NASD-2004-014 Proposed Rule Change to Adopt Interpretative Material 3150 ("IM-3150") to Establish Exemptions from the Reporting Requirements of NASD Rule 3150
SR-NASD-2004-013 Reorganization and Revision of NASD Mediation Rules
SR-NASD-2004-012 Proposed Rule Change to Extend Operation of NASD's Alternative Display Facility as a Temporary Pilot
SR-NASD-2004-011 Reorganization and Revision of NASD Arbitration Rules Relating to Industry Disputes
SR-NASD-2004-010 To Establish Effective Date for NASD Rule 1050, Registration of Research Analysts
SR-NASD-2004-005 Proposed Rule Change to Amend NASD Rule 2370

Pages