Rule Filings

Rule Filing Numbersort ascending Title
SR-NASD-2005-021 Guidance Regarding Members' Regulatory Transaction Fees
SR-NASD-2005-015 Proposed Revisions to the Series 55 Examination Program
SR-NASD-2005-014 Proposed Revisions to the Series 11 Examination Program
SR-NASD-2005-011 Proposed Rule Change to Rule 6530 to Limit the Eligibility for Quotation on the OTCBB
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-2005-005 Proposed Rule 2342 Requiring Members to Provide Customers with SIPC's Web Site and Telephone Number
SR-NASD-2005-004 Proposed Amendment to Rule 3010(a)(7) to Require Registered Principals to Attend Annual Compliance Meetings
SR-NASD-2005-001 Proposed Rule Change to Amend NASD Rule 3360 in Light of the SEC Regulation SHO
SR-NASD-2004-189 Proposed Rule Change to Amend Rule 7010(k)
SR-NASD-2004-183 Proposed New Rule 2821 Regarding Transactions in Deferred Variable Annuities
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-2004-179 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-2004-178 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-2004-177 Proposed Rule Change To Amend Section 7 of Schedule A to the NASD By-Laws to Adjust Fees for Filing Documents Pursuant to the Corporate Financing Rule
SR-NASD-2004-176 Proposed Rule Change to Extend Through June 30, 2005, the Current Pilot Price-Improvement Standards for Decimalized Securities Contained in NASD Interpretive Material 2110-2 - Trading Ahead of Customer Limit Order
SR-NASD-2004-175 Proposed Rule Change to Repeal NASD Rule 3110(b)(1), Rule 3210, Rule 3370(b) and Rule 11830 in Light of SEC Regulation SHO
SR-NASD-2004-174 Proposed Amendment to Rule 2212 (Telemarketing) Regarding the Frequency of Updates from the National Do-Not-Call Registry
SR-NASD-2004-171 Amendments to Rule 2340 (Customer Account Statements)
SR-NASD-2004-165 Proposed Rule Change Relating to NASD Rule 2790
SR-NASD-2004-164 Proposed Rule Change to Amend Rule 10308 of the NASD Code of Arbitration Procedure to Change the Method Used by the Neutral List Selection System
SR-NASD-2004-163 Extension of Pilot for Bond Trade Dissemination Service ("BTDS") Professional Delayed-Time Data Display Fee
SR-NASD-2004-160 Proposed Rule Change To Extend Operation of NASD's Alternative Display Facility as a Temporary Pilot
SR-NASD-2004-159 Proposed Rule Change to Allow NASD to Review on a Pilot Basis Denial of Access Complaints Related to the Alternative Display Facility
SR-NASD-2004-153 Options Position Limits - Exemption for OTC Derivatives Dealers
SR-NASD-2004-148 Proposed Amendment to TRACE Rule 6250 (Dissemination of Transaction Information); Filed for Immediate Effectiveness)

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