Rule Filings
View the Rule Filing Status Report.
Rule Filing Number |
Title |
|---|---|
| SR-NASD-2005-063 | Proposed Rule Change to Amend NASD Rule 7010(k) |
| SR-NASD-2005-061 | Proposed Rule Change to Extend for an Additional Two-Year Period NASD's Authority Under the Cease and Desist Pilot Program |
| SR-NASD-2005-058 | Proposed Amendments to NASD Rules 3150 and 3230 |
| SR-NASD-2005-053 | Proposed Rule Change to Delay Implementation Date of Revisions to the Series 4 Examination Program |
| SR-NASD-2005-052 | Proposed Rule Change to Provide Payment to Arbitrators for Deciding Discovery-Related Motions Without a Hearing |
| SR-NASD-2005-046 | Proposed Rule Change to Amend the Arbitration Fees Applicable to Certain Statutory Employment Discrimination Claims |
| SR-NASD-2005-045 | Proposed Rule Change to Amend NASD Rule 3110(f)(2)(B) |
| SR-NASD-2005-043 | Proposed Rule Change to Provide an Exemption From the Research Analyst Qualification Examination for Certain Associated Persons |
| SR-NASD-2005-040 | Proposed Rule Change to Amend Rule 2860 |
| SR-NASD-2005-033 | Proposed Amendment to Rule 3010(b)(2)(L) Relating to Taping Rule "Opt Out" and Exemption Provisions |
| SR-NASD-2005-032 | Proposed Rule Change to Provide Written Explanations in Arbitration Awards Upon the Request of Customers or Associated Persons |
| SR-NASD-2005-030 | Proposed Form BR (Uniform Branch Office form) Conforming Changes and Technical Revisions to the Form U4 and Form U5 |
| SR-NASD-2005-026 | Proposed Rule change to Amend NASD Rule 7010(k) Relating to Transaction Reporting and Compliance Engine (TRACE) Transaction Data and Data Fees |
| SR-NASD-2005-025 | Revisions to the Series 4 Examination Program |
| SR-NASD-2005-023 | Proposed Rule Change Amends Rule 10316 and Adopts Rule 10408 of the NASD Code of Arbitration Procedure to Address Attorney Representation in Arbitration and Mediation |
| SR-NASD-2005-022 | Proposed Rule Change to Provide an Exemption from the Research Analyst Qualification Examination for Certain Associated Persons Who Prepare Technical Research Reports |
| SR-NASD-2005-021 | Guidance Regarding Members' Regulatory Transaction Fees |
| SR-NASD-2005-015 | Proposed Revisions to the Series 55 Examination Program |
| SR-NASD-2005-014 | Proposed Revisions to the Series 11 Examination Program |
| SR-NASD-2005-011 | Proposed Rule Change to Rule 6530 to Limit the Eligibility for Quotation on the OTCBB |
| SR-NASD-2005-007 | Proposed Rule Change to Amend the Code of Arbitration Procedure by Adopting a New Interpretive Material (IM) 10308 on Mediators Serving as Arbitrators |
| SR-NASD-2005-005 | Proposed Rule 2342 Requiring Members to Provide Customers with SIPC's Web Site and Telephone Number |
| SR-NASD-2005-004 | Proposed Amendment to Rule 3010(a)(7) to Require Registered Principals to Attend Annual Compliance Meetings |
| SR-NASD-2005-001 | Proposed Rule Change to Amend NASD Rule 3360 in Light of the SEC Regulation SHO |
| SR-NASD-2004-189 | Proposed Rule Change to Amend Rule 7010(k) |