Rule Filings

Rule Filing Numbersort ascending Title
SR-NASD-2007-026 Proposed Amendment to the Customer, Industry and Mediation Codes to Implement Technical Changes to the Three New Codes Prior to the Effective Date of the Customer and Industry Codes
SR-NASD-2007-025 Proposed Rule Change to Adopt New NASD Rule 7000E Series Relating to the NASD/NYSE Trade Reporting Facility
SR-NASD-2007-024 Technical Amendment to Rule 2520 (Margin Requirements)
SR-NASD-2007-023 Proposed Rule Change to Amend the By-Laws of NASD to Implement Governance and Related Changes to Accommodate the Consolidation of the Member Firm Regulatory Functions of NASD and NYSE Regulation, Inc.
SR-NASD-2007-022 The Proposed Rule Change Amends the NASD Code of Mediation Procedure. The Proposal is Concerned Solely with the Administration of NASD in That it Renumbers the Rules, Updates Cross References, and Reinserts Rule Language That had Been Reserved
SR-NASD-2007-021 The Proposal Amends the Definition of Public Arbitrator under the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Add an Annual Revenue Limitation
SR-NASD-2007-020 Proposed Rule Change to Revise the Implementation Date of Previously Proposed Amendments to NASD Rules 4632(f) and 6130(e)
SR-NASD-2007-019 Proposed Rule Change to Revise the Effective Date of Amendments to NASD's Order Audit Trail System Rules
SR-NASD-2007-018 Proposed Rule Change to Amend the NASD Rule 7000 Series to Delete References to Systems and Services That Will No Longer Be Provided by NASD
SR-NASD-2007-017 Proposed Rule Change to Amend NASD Rule 7010A Relating to the Alternative Display Facility Quotation Update Fee
SR-NASD-2007-016 Proposed Rule Change to Amend NASD Rules 4632C and 4632D to Reflect "As/Of" Trade Reporting and the Automated Reporting of Trade Cancellations to the NASD/NSX Trade Reporting Facility and the NASD/BSE Trade Reporting Facility
SR-NASD-2007-015 A Proposed Rule Change to NASD Rules 1012 and 1013 to Require Applicants for Membership to Apply for Membership in the Manner NASD Prescribes
SR-NASD-2007-014 Proposed Rule Change to Make Conforming Changes to the Rules Relating to the NASD/NSX TRF, NASD/BSE TRF and NASD/NYSE TRF Consistent with the New Requirements of Regulation NMS
SR-NASD-2007-013 Amendments to Rules 2520 and 2860 to Adopt a Portfolio Margin Pilot Program
SR-NASD-2007-012 Proposal Relating to Implementation of Certain Approved NASD Rule Changes Upon the Operation of the Nasdaq Stock Market LLC for Non-Nasdaq Exchange-Listed Securities
SR-NASD-2007-011 Proposed Rule Change Relating to a New NASD Trade Reporting Facility Established in Conjunction with NYSE Market, Inc.
SR-NASD-2007-010 Proposed Rule Change to Amend NASD Rule 7010 to Modify Pricing for NASD Members Using the ITS/CAES System and Inet Facility
SR-NASD-2007-009 Proposed Rule Change Relating to Extension of NASD's Short Sale Rule Contained in Rule 5100 and Short Sale Standard Contained in IM-5100
SR-NASD-2007-008 Proposed Rule Change to Extend the Pilot Periods for NASD Rules 4613A(b) and 5140 until January 25, 2008
SR-NASD-2007-007 Proposed Amendment to Rule 2860 to Extend a Pilot Program Increasing Certain Options Position and Exercise Limits
SR-NASD-2007-006 Proposed Rule Change to NASD By-Laws Relating to Fees for Filing Documents Pursuant to Rule 2710
SR-NASD-2007-005 Proposed Rule Change Relating to Operating NASD's Alternative Display Facility on a Permanent Basis
SR-NASD-2007-004 Proposed Rule Change to Amend NASD Rule 7010(k) Relating to Transaction Reporting and Compliance Engine (TRACE) Transaction Data and Data Fees
SR-NASD-2007-003 Proposed Rule Change to Adopt New NASD Rule 7000D Series Relating to Fees and Credits for the NASD/BSE Trade Reporting Facility
SR-NASD-2007-002 Proposed Rule Change to Make Conforming Changes to the NASD/Nasdaq Trade Reporting Facility Rules Consistent with the New Requirements of Regulation NMS

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