Rule Filings

Rule Filing Numbersort ascending Title
SR-NASD-2007-050 Proposed Amendment to Rule 2711 Regarding a Member's Disclosure and Supervisory Review Obligations when Distributing Third-Party Research
SR-NASD-2007-049 Proposed Rule Change to Amend NASD Rule 3013 and Accompanying IM-3013
SR-NASD-2007-048 Proposed Rule Change to Amend NASD Rule 2210 (Communications with the Public)
SR-NASD-2007-047 Proposed Rule Change Relating to Amendments to Certain NASD Rules and Repeal of NASD Short Sale Rules in Light of Amendments to SEC Rule 10a-1 and Regulation SHO
SR-NASD-2007-046 RFN Proposed Rule Change to Allow NASD Members to Use the NASD/Nasdaq Trade Reporting Facility to Process Transaction Fees Charged by One Member to Another Member
SR-NASD-2007-045 Proposed Rule Change Extending the Portfolio Margin Pilot Program Set Forth in Rule 2520(g)
SR-NASD-2007-044 Proposed Rule Change to Amend Rule 2860 Regarding the Delta Hedging Exemption from Equity Options Position Limits
SR-NASD-2007-043 Proposed Rule Change to Amend NASD Rule 7001C to Increase Percentage of Market Data Revenue Shared with NASD/NSX TRF Participants
SR-NASD-2007-042 Proposed Rule Change to Delay the Implementation Date of IM 2210-4, Which Requires Certain Member Firms to Provide a Hyperlink to www.nasd.com
SR-NASD-2007-041 Proposed Amendments to NASD IM-2110-2 (Trading Ahead of Customer Limit Order)
SR-NASD-2007-040 Proposed Rule Change Relating to Clearing Reports for Previously Executed Trades
SR-NASD-2007-039 Proposed Rule Change to Delay Implementation of Certain NASD Rule Changes Approved in SR-NASD-2005-146
SR-NASD-2007-038 The Proposal Amends the Arbitration Codes to Clarify That, for Purposes of the Codes, the Term Member Includes any Broker or Dealer Admitted to Membership in a Self-Regulatory Organization That, with NASD Consent, has Required its Members to Arbitrate Pursuant to the Codes and/or be Treated as Members of NASD for Purposes of the Codes
SR-NASD-2007-037 Proposed Rule Change to Amend NASD Rules to Extend the Closing Time of the NASD/NYSE Trade Reporting Facility to 8:00 p.m.
SR-NASD-2007-036 Proposed Amendment to NASD Rule 2342 (SIPC Information)
SR-NASD-2007-035 Proposed Amendment to Rule 11810(i) to Mandate Use of Automated Liability Notification System of Registered Clearing Firm
SR-NASD-2007-034 A Proposed Rule Change to Create New NASD Rule 1160 (Contact Information Requirements) to Require Members to Verify Required Contact Information, As Well As Update Promptly, and Comply Promptly with any Request For, Such Information
SR-NASD-2007-033 Proposed Rule Change to Extend for an Additional Two-year Period, to June 23, 2009, NASD's Authority Under the Cease and Desist Pilot Program
SR-NASD-2007-032 Proposed Rule Change to Adopt New Rule 5150 and Amend Rule 9610 to Provide NASD With Authority to Exempt Members From Certain New NASD Trade Reporting Requirements
SR-NASD-2007-031 Proposed Rule Change to Amend NASD Rule 7001E to Increase Percentage of Market Data Revenue Shared with NASD/NYSE TRF Participants
SR-NASD-2007-030 Proposed Rule Change to Amend NASD Rule 6620 Relating to Trade Reporting Obligations for Transactions in Foreign Equity Securities
SR-NASD-2007-029 Proposed Rule Change to Amend NASD Rule 6540(c) Relating to Access Fee Display Requirements
SR-NASD-2007-028 Proposed Rule Change to Amend Rules 6951 and 6954 Regarding the Order Audit Trail System
SR-NASD-2007-027 Temporary Program to Allow Member Firms to Voluntarily Submit Accumulated Funds to NASD
SR-NASD-2007-026 Proposed Amendment to the Customer, Industry and Mediation Codes to Implement Technical Changes to the Three New Codes Prior to the Effective Date of the Customer and Industry Codes

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