Rule Filings
View the Rule Filing Status Report.
Rule Filing Number |
Title |
|---|---|
| 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) |
| SR-NASD-2004-183 | Proposed New Rule 2821 Regarding Transactions in Deferred Variable Annuities |
| SR-NASD-2004-180 | Proposed Rule Change to Extend the Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Relating to the California Waiver Program Until September 30, 2005 |
| SR-NASD-2004-179 | Proposed Rule Change to Amend Section 13 of Schedule A to the NASD By-Laws to Adjust the Review Charge for Advertisement, Sales Literature, and Other Such Materials Filed With or Submitted to NASD |
| SR-NASD-2004-178 | Proposed Rule Change to Amend Section 13 of Schedule A to the NASD By-Laws to Adjust the Review Charge for Advertisement, Sales Literature, and Other Such Material Filed With or Submitted to NASD |
| SR-NASD-2004-177 | Proposed Rule Change To Amend Section 7 of Schedule A to the NASD By-Laws to Adjust Fees for Filing Documents Pursuant to the Corporate Financing Rule |
| SR-NASD-2004-176 | Proposed Rule Change to Extend Through June 30, 2005, the Current Pilot Price-Improvement Standards for Decimalized Securities Contained in NASD Interpretive Material 2110-2 - Trading Ahead of Customer Limit Order |
| SR-NASD-2004-175 | Proposed Rule Change to Repeal NASD Rule 3110(b)(1), Rule 3210, Rule 3370(b) and Rule 11830 in Light of SEC Regulation SHO |
| SR-NASD-2004-174 | Proposed Amendment to Rule 2212 (Telemarketing) Regarding the Frequency of Updates from the National Do-Not-Call Registry |
| SR-NASD-2004-171 | Amendments to Rule 2340 (Customer Account Statements) |
| SR-NASD-2004-165 | Proposed Rule Change Relating to NASD Rule 2790 |
| SR-NASD-2004-164 | Proposed Rule Change to Amend Rule 10308 of the NASD Code of Arbitration Procedure to Change the Method Used by the Neutral List Selection System |