Rule Filings

Rule Filing Numbersort ascending Title
SR-NASD-2006-101 Proposed Rule Change to Provide for the Payment of a $200 Honorarium Per Case for each Arbitrator who Considers Contested Motions for the Issuance of Subpoenas.
SR-NASD-2006-100 Proposed Amendment to Rule 2860 Regarding Option Disclosure Documents Delivery Requirements
SR-NASD-2006-099 Proposed Amendments to the Procedures for Exercise of Options in Rule 2860
SR-NASD-2006-098 Technical, Non-Substantive Amendments to Certain NASD Rules Approved in SR-NASD-2006-055 that were Amended by SR-NASD-2005-087
SR-NASD-2006-097 Proposed Amendment to Rule 2860 to Extend a Pilot Program Increasing Certain Options Position and Exercise Limits.
SR-NASD-2006-096 Proposed Rule Change to Amend NASD Rule 4613A and Adopt IM-4613A-1 Relating to Additional Market Participant Identifier Functionality on the Alternative Display Facility
SR-NASD-2006-091 Amendments to NASD Rules to Align Them with Regulation NMS and to Allow for Quoting, Trade Reporting and Clearing Through the Alternative Display Facility for all NMS Stock.
SR-NASD-2006-090 Proposed Rule Change to Adopt a Schedule of Fees and Credits for The Trade Reporting Facility LLC Established by NASD and The Nasdaq Stock Market, Inc.
SR-NASD-2006-089 Proposed Rule Change to Amend NASD Rule 5100 (Short Sale Rule) to Allow Members to use, for a Transitional Period, the Nasdaq Exchange Best (inside) Bid Rather than the National Best (inside) Bid for Purposes of Application of the Rule
SR-NASD-2006-088 A Proposed Rule Change to Adopt Rule 12504 of the Proposed Code of Arbitration Procedure for Customer Disputes ("Customer Code") and Rule 13504 of the Proposed Code of Arbitration Procedure for Industry Disputes ("Industry Code") to Address Motions to Decide Claims Before a Hearing on the Merits.
SR-NASD-2006-087 Proposed Rule Change to Amend NASD Rule 5110 and to Make Technical, Non-Substantive Changes to Certain Other NASD Rules Amended by Approved Rule Change SR-NASD-2005-087
SR-NASD-2006-086 Revisions to the Series 55 Examination Program.
SR-NASD-2006-085 Revisions to the Series 39 Examination Program.
SR-NASD-2006-084 Revisions to the Series 28 Examination Program.
SR-NASD-2006-083 Revisions to the Series 27 Examination Program.
SR-NASD-2006-082 Revisions to the Series 22 Examination Program.
SR-NASD-2006-081 Proposed Rule Change to Adopt New NASD Rule 5150 to Require an NASD Member That is Registered as a Nasdaq Market Maker in a Non-Nasdaq Exchange-Listed Security to Comply with NASD Rule 5262 Relating to Trade-Throughs With Respect to that Security.
SR-NASD-2006-076 Proposed Rule Change to Exempt All Securities Included in the NASDAQ 100 Index from the Price Test Set Forth in NASD Rule 5100 (Formerly Rule 3350)
SR-NASD-2006-074 Amendments Relating to the Issuer-Directed Securities Exemption in NASD Rule 2790
SR-NASD-2006-073 Proposed Rule Change to Amend Interpretive Material 2210-4 Regarding Hyperlinks to NASD's Web Site
SR-NASD-2006-071 Proposed Rule Change Relating to Technical Amendments to Rule 3210
SR-NASD-2006-070 Proposed Rule Change Relating to Amendment to the Safe Harbor For Business Expansions
SR-NASD-2006-069 Proposed Rule Change Extending the Pilot Relating to Manning Price-Improvement Standards for Decimals.
SR-NASD-2006-066 Proposal to Amend Rule 2340 to Relieve Members from the Requirement to Send Quarterly Account Statements to Customer Accounts that are Carried on a DVP/RVP Basis
SR-NASD-2006-065 Proposed Rule Change to Amend Schedule A to the NASD By-Laws Regarding Branch Office Fees