Rule Filings

Rule Filing Numbersort descending Title
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-2004-179 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-2004-180 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-2004-183 Proposed New Rule 2821 Regarding Transactions in Deferred Variable Annuities
SR-NASD-2004-189 Proposed Rule Change to Amend Rule 7010(k)
SR-NASD-2005-001 Proposed Rule Change to Amend NASD Rule 3360 in Light of the SEC Regulation SHO
SR-NASD-2005-004 Proposed Amendment to Rule 3010(a)(7) to Require Registered Principals to Attend Annual Compliance Meetings
SR-NASD-2005-005 Proposed Rule 2342 Requiring Members to Provide Customers with SIPC's Web Site and Telephone Number
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-2005-011 Proposed Rule Change to Rule 6530 to Limit the Eligibility for Quotation on the OTCBB
SR-NASD-2005-014 Proposed Revisions to the Series 11 Examination Program
SR-NASD-2005-015 Proposed Revisions to the Series 55 Examination Program
SR-NASD-2005-021 Guidance Regarding Members' Regulatory Transaction Fees
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-2005-023 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-2005-025 Revisions to the Series 4 Examination Program
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-2005-030 Proposed Form BR (Uniform Branch Office form) Conforming Changes and Technical Revisions to the Form U4 and Form U5
SR-NASD-2005-032 Proposed Rule Change to Provide Written Explanations in Arbitration Awards Upon the Request of Customers or Associated Persons
SR-NASD-2005-033 Proposed Amendment to Rule 3010(b)(2)(L) Relating to Taping Rule "Opt Out" and Exemption Provisions
SR-NASD-2005-040 Proposed Rule Change to Amend Rule 2860
SR-NASD-2005-043 Proposed Rule Change to Provide an Exemption From the Research Analyst Qualification Examination for Certain Associated Persons
SR-NASD-2005-045 Proposed Rule Change to Amend NASD Rule 3110(f)(2)(B)
SR-NASD-2005-046 Proposed Rule Change to Amend the Arbitration Fees Applicable to Certain Statutory Employment Discrimination Claims
SR-NASD-2005-052 Proposed Rule Change to Provide Payment to Arbitrators for Deciding Discovery-Related Motions Without a Hearing

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