Rule Filings

Rule Filing Numbersort ascending Title
SR-NASD-2006-044 Proposal to Adopt New IM-3060 to Require Members to Adopt Written Policies and Procedures Concerning Business Entertainment
SR-NASD-2006-040 Proposed Amendments to Expand NASD's Current Order Audit Trail System (OATS) Exemptive Authority to Include Recording Requirements
SR-NASD-2006-039 Proposed Amendments to Rules Regarding Trading and Quotation Halts in OTC Equity Securities
SR-NASD-2006-038 Proposed Amendments to Rule 1013 to Adopt a Standardized New Member Application Form
SR-NASD-2006-037 Extension of Effective Date of NASD Rule 3010(g)(2)(A) and IM-3010-1 (Uniform Branch Office Definition)
SR-NASD-2006-036 Proposed Rule Change to Amend NASD Interpretive Material 3013
SR-NASD-2006-035 Proposed Amendments to IM-2110-2 to Clarify the Application of the Manning Rule to Non-Market Makers
SR-NASD-2006-029 Proposed Amendments to Rule 6530 to Clarify the Removal Process for the Securities of OTCBB Issuers
SR-NASD-2006-025 Proposed Amendment to Rule 2860 to Extend a Pilot Program
SR-NASD-2006-012 Proposed Amendments to IM-2110-2 to Clarify the Application of the Manning Rule to Non-Market Makers
SR-NASD-2006-011 Proposed Amendments to Rule 2211 Regarding Principal Pre-Use Approval of Member Correspondence
SR-NASD-2006-007 Proposed Amendments to Rule 2860 to Revise the Definition of the Term Underlying Index and Allow Members to Calculate Position Limits for Certain Conventional Equity Options
SR-NASD-2006-005 Proposal to Expand the Scope of Rule 2440 and IM-2440 to Apply to All Securities Transactions with or for a Customer
SR-NASD-2006-003 NASD is Filing Notice to Members 06-03, Which Provides Guidance Regarding the Application of New Rule 2111 Prohibiting Members from Trading Ahead of Customer Market Orders Under Certain Circumstances
SR-NASD-2005-152 Proposed Rule Change to Extend the Current Pilot Price-Improvement Standards for Decimalized Securities Contained in NASD Interpretive Material 2110-2
SR-NASD-2005-146 Proposed Rule Change to Expand the Scope of IM-2110-2 (the "Manning Rule")
SR-NASD-2005-144 Proposed Rule Change to Add New NASD Rule 3380 Relating to Order Entry and Execution Practices
SR-NASD-2005-139 Proposed Rule Change to Amend Rule 2111 to Delete References to Rule 6440(f)(2) in Light of Recent Rule Change Repealing Rule 6440(f)
SR-NASD-2005-135 Proposed Amendments Relating to the Status of Former Registered Persons Serving in the Armed Forces of the United States
SR-NASD-2005-134 Proposed Amendments Relating to the Status of Registered Persons and Sole Proprietors Serving in the Armed Forces of the United States
SR-NASD-2005-133 Proposed Amendment to Section 4 of Schedule A to NASD By-Laws to Increase Certain Qualification Examination Fees
SR-NASD-2005-132 Proposed Amendment to Section 4 of Schedule A to NASD By-Laws to Increase the Session Fee for the Regulatory Element Continuing Education Program
SR-NASD-2005-130 Proposed Amendments to NASD Rule 6210(a), the Definition of "TRACE-eligible security," and NASD Rule 6260, the TRACE Notification Provision
SR-NASD-2005-129 Propose Rule Change to Exempt All Securities Included in the Nasdaq 100 Index From the Price Test Set Forth in NASD Rule 3350(a)
SR-NASD-2005-124 Proposed Rule Change to Repeal Rule 6440(f)

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