Rule Filings

Rule Filing Numbersort ascending Title
SR-NASD-2007-041 Proposed Amendments to NASD IM-2110-2 (Trading Ahead of Customer Limit Order)
SR-NASD-2007-040 Proposed Rule Change Relating to Clearing Reports for Previously Executed Trades
SR-NASD-2007-039 Proposed Rule Change to Delay Implementation of Certain NASD Rule Changes Approved in SR-NASD-2005-146
SR-NASD-2007-038 The Proposal Amends the Arbitration Codes to Clarify That, for Purposes of the Codes, the Term Member Includes any Broker or Dealer Admitted to Membership in a Self-Regulatory Organization That, with NASD Consent, has Required its Members to Arbitrate Pursuant to the Codes and/or be Treated as Members of NASD for Purposes of the Codes
SR-NASD-2007-037 Proposed Rule Change to Amend NASD Rules to Extend the Closing Time of the NASD/NYSE Trade Reporting Facility to 8:00 p.m.
SR-NASD-2007-036 Proposed Amendment to NASD Rule 2342 (SIPC Information)
SR-NASD-2007-035 Proposed Amendment to Rule 11810(i) to Mandate Use of Automated Liability Notification System of Registered Clearing Firm
SR-NASD-2007-034 A Proposed Rule Change to Create New NASD Rule 1160 (Contact Information Requirements) to Require Members to Verify Required Contact Information, As Well As Update Promptly, and Comply Promptly with any Request For, Such Information
SR-NASD-2007-033 Proposed Rule Change to Extend for an Additional Two-year Period, to June 23, 2009, NASD's Authority Under the Cease and Desist Pilot Program
SR-NASD-2007-032 Proposed Rule Change to Adopt New Rule 5150 and Amend Rule 9610 to Provide NASD With Authority to Exempt Members From Certain New NASD Trade Reporting Requirements
SR-NASD-2007-031 Proposed Rule Change to Amend NASD Rule 7001E to Increase Percentage of Market Data Revenue Shared with NASD/NYSE TRF Participants
SR-NASD-2007-030 Proposed Rule Change to Amend NASD Rule 6620 Relating to Trade Reporting Obligations for Transactions in Foreign Equity Securities
SR-NASD-2007-029 Proposed Rule Change to Amend NASD Rule 6540(c) Relating to Access Fee Display Requirements
SR-NASD-2007-028 Proposed Rule Change to Amend Rules 6951 and 6954 Regarding the Order Audit Trail System
SR-NASD-2007-027 Temporary Program to Allow Member Firms to Voluntarily Submit Accumulated Funds to NASD
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