Rule Filings

Rule Filing Numbersort ascending Title
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-2005-087 Proposed Rule Change to Reflect Nasdaq's Separation from NASD Upon Nasdaq's Anticipated Approval as a National Securities Exchange
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-2005-085 Proposed Rule Change to Extend the Pilot Relating to Manning Price-Improvement Standards for Decimals
SR-NASD-2005-084 Proposed Rule Change to Amend NASD Rule 3012 Regarding General Supervisory Requirements
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-2005-080 Proposed Rule Change to Establish New NASD Rule 2290 Regarding Fairness Opinions
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-2005-074 Proposed Rule Change to Amend Rule 7010(k)(3) Relating to Definition of "Non-Professional" and Use of TRACE Transaction Data
SR-NASD-2005-070 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-2005-067 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-2005-066 Proposed Rule Change to Amend NASD Rule 3011 and Adopt New Related Interpretive Material, Specifically IM-3011-1 and IM-3011-2
SR-NASD-2005-064 Proposed Amendment to IM-8210-2
SR-NASD-2005-063 Proposed Rule Change to Amend NASD Rule 7010(k)
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-2005-058 Proposed Amendments to NASD Rules 3150 and 3230
SR-NASD-2005-053 Proposed Rule Change to Delay Implementation Date of Revisions to the Series 4 Examination Program
SR-NASD-2005-052 Proposed Rule Change to Provide Payment to Arbitrators for Deciding Discovery-Related Motions Without a Hearing
SR-NASD-2005-046 Proposed Rule Change to Amend the Arbitration Fees Applicable to Certain Statutory Employment Discrimination Claims
SR-NASD-2005-045 Proposed Rule Change to Amend NASD Rule 3110(f)(2)(B)
SR-NASD-2005-043 Proposed Rule Change to Provide an Exemption From the Research Analyst Qualification Examination for Certain Associated Persons
SR-NASD-2005-040 Proposed Rule Change to Amend Rule 2860
SR-NASD-2005-033 Proposed Amendment to Rule 3010(b)(2)(L) Relating to Taping Rule "Opt Out" and Exemption Provisions
SR-NASD-2005-032 Proposed Rule Change to Provide Written Explanations in Arbitration Awards Upon the Request of Customers or Associated Persons
SR-NASD-2005-030 Proposed Form BR (Uniform Branch Office form) Conforming Changes and Technical Revisions to the Form U4 and Form U5

Pages