Rule Filings

Rule Filing Numbersort descending Title
SR-NASD-2005-053 Proposed Rule Change to Delay Implementation Date of Revisions to the Series 4 Examination Program
SR-NASD-2005-058 Proposed Amendments to NASD Rules 3150 and 3230
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-2005-063 Proposed Rule Change to Amend NASD Rule 7010(k)
SR-NASD-2005-064 Proposed Amendment to IM-8210-2
SR-NASD-2005-066 Proposed Rule Change to Amend NASD Rule 3011 and Adopt New Related Interpretive Material, Specifically IM-3011-1 and IM-3011-2
SR-NASD-2005-067 Proposed Rule Change to Rules 6530 and 7010 to Clarify the Availability of a Process to Review Eligibility Determinations Under Rule 6530 and to Adopt Service Based Fees for Issuers Quoted on the OTC Bulletin Board ("OTCBB")
SR-NASD-2005-070 Proposed Rule Change to Rescind the Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Relating to the Waiver of the California Ethics Standards for Neutral Arbitrators in Contractual Arbitration
SR-NASD-2005-074 Proposed Rule Change to Amend Rule 7010(k)(3) Relating to Definition of "Non-Professional" and Use of TRACE Transaction Data
SR-NASD-2005-079 Proposed Rule change to Revise Rule 10322 of the NASD Code of Arbitration Procedure, which Pertains to Subpoenas and the Power to Direct Appearances
SR-NASD-2005-080 Proposed Rule Change to Establish New NASD Rule 2290 Regarding Fairness Opinions
SR-NASD-2005-083 Proposed Rule Change to Amend Rule 7010(k)(3) Relating to Definition of "Non-Professional" and Use of TRACE Transaction Data
SR-NASD-2005-084 Proposed Rule Change to Amend NASD Rule 3012 Regarding General Supervisory Requirements
SR-NASD-2005-085 Proposed Rule Change to Extend the Pilot Relating to Manning Price-Improvement Standards for Decimals
SR-NASD-2005-086 Proposed Rule Change to Amendment to Article VIII of the By-Laws, Relating to District Committees and District Nominating Committees
SR-NASD-2005-087 Proposed Rule Change to Reflect Nasdaq's Separation from NASD Upon Nasdaq's Anticipated Approval as a National Securities Exchange
SR-NASD-2005-089 Proposed Rule Change Relating to NASD's Direct Authority for the Activities Related to or in Support of Trading in Over-the-Counter Equity Securities
SR-NASD-2005-092 Proposed Rule Change to Extend the Operation of NASD's Alternative Display Facility ("ADF") on a Pilot Basis
SR-NASD-2005-093 Proposed Rule Change Relating to Amendments to NASD Rule 3370
SR-NASD-2005-094 Proposed Rule Change to Amend Rule 10308 of the NASD Code of Arbitration Procedure Relating to the Classification of Arbitrators
SR-NASD-2005-095 Proposed Rule Change to Amend NASD Rule 6750 Relating to Non-Nasdaq OTC Equity Securities
SR-NASD-2005-097 Proposed Amendment to Rule 2860 to Extend Pilot Program
SR-NASD-2005-098 Proposed Rule Change to Amend NASD Rule 6740 Regarding Submission of Rule 15c2-11 Information on Non-Nasdaq Securities
SR-NASD-2005-100 Proposed New Rule 2231 Regarding Transaction-Specific Disclosures for Customers in Debt Securities Transactions
SR-NASD-2005-101 Proposed Rule Change to Amend NASD Rules 6951 and 6952 Regarding Order Audit Trail System Reporting

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