Rule Filings
View the Rule Filing Status Report.
Rule Filing Number |
Title |
|---|---|
| SR-NASD-2004-145 | Amendments to Schedule 4 to the NASD By-Laws (Fees for Qualification Examinations) |
| SR-NASD-2004-141 | Amendments to NASD Rule 2711 to Prohibit Participation by Research Analysts in Road Shows |
| SR-NASD-2004-137 | Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Amendments to the OATS Rules to Require that ECNs Capture Routed Order Identifier Information |
| SR-NASD-2004-136 | Treatment of Commodity Pool Trail Commissions under Rule 2810 |
| SR-NASD-2004-135 | Disclosure and Consent Requirements When Trading on a Net Basis With Customers |
| SR-NASD-2004-133 | Proposed Amendments to Rule 9522 |
| SR-NASD-2004-130 | Amendments to Rule 2320(g) and Rule 3110(b)(2) Relating to Foreign Securities |
| SR-NASD-2004-129 | Proposed Rule Change Relating to Section 3 of Schedule A to the NASD By-Laws; Filed for Immediate Effectiveness |
| SR-NASD-2004-126 | 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-2004-123 | Proposal to Delete Rule Series 3400 and IM-2210-4(b) as Obsolete |
| SR-NASD-2004-122 | Arbitrator Web Literacy |
| SR-NASD-2004-121 | Amendments to NASD's Minor Rule Violation Plan |
| SR-NASD-2004-116 | Amendments to Supervisory Control and Inspection Procedures Rules |
| SR-NASD-2004-115 | Amendments to Reduce the Fee for the Regulatory Element of Continuing Education Program |
| SR-NASD-2004-112 | Proposed Extension of the Pilot Relating to Manning Price-Improvement Standards for Decimals |
| SR-NASD-2004-111 | Amendments to Supervisory Control and Inspection Procedures Rules |
| SR-NASD-2004-110 | Amendments to NASD, NASD Regulation, and NASD Dispute Resolution By-Laws Relating to Divestiture of American Stock Exchange |
| SR-NASD-2004-108 | Treatment of Commodity Pool Trail Commissions under Rule 2810 |
| SR-NASD-2004-100 | Amendments to the Rule 9600 Series; Filed for Immediate Effectiveness |
| SR-NASD-2004-098 | Proposed Amendments to Eliminate Exemptions from the Continuing Education Regulatory Element Requirements |
| SR-NASD-2004-095 | Policy to Conduct Fingerprint-based Background Checks of NASD Employees and Independent Contractors |
| SR-NASD-2004-094 | Proposed Amendments to TRACE Rule 6250 and Related TRACE Rules to Disseminate Transaction Information on All TRACE-Eligible Securities and Facilitate Dissemination |
| SR-NASD-2004-093 | To Establish a Revised Effective Date For Amendments to Order Audit Trail System Rules Relating to Execution Reports |
| SR-NASD-2004-089 | Proposed Amendments to Require Price Improvement to Limit Orders in Certain Circumstances |
| SR-NASD-2004-088 | Discovery Sanctions Rule; Accelerated Effectiveness Requested |