Rule Filings

Rule Filing Number Titlesort descending
SR-NASD-2004-001 Proposal to Increase the Fee for Panel Member Training
SR-NASD-2001-008 Proposal to Limit Enforcement of Predispute Arbitration Agreements by Terminated or Suspended Members
SR-NASD-2005-117 Proposal to Make Permanent Bond Mutual Fund Volatility Ratings Rules
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-FINRA-2007-002 Proposed Amendment of Rule 2860 to Extend a Pilot Program Increasing Certain Options Position and Exercise Limits
SR-NASD-2003-126 Proposed Amendment to Expiration Date of Rules Relating to Bond Fund Volatility Ratings
SR-FINRA-2007-022 Proposed Amendment to FINRA's NYSE Rule 342.13 Regarding the Series 9/10 and Series 24 Examinations
SR-NASD-2005-064 Proposed Amendment to IM-8210-2
SR-NASD-2007-055 Proposed Amendment to NASD IM-9216 to Expand the List of Violations Eligible for Disposition Under NASD's Minor Rule Violation Plan
SR-NASD-2007-036 Proposed Amendment to NASD Rule 2342 (SIPC Information)
SR-NASD-2004-057 Proposed Amendment to Reduce the Reporting Period for Transactions in TRACE-Eligible Securities
SR-NASD-2007-035 Proposed Amendment to Rule 11810(i) to Mandate Use of Automated Liability Notification System of Registered Clearing Firm
SR-NASD-2004-174 Proposed Amendment to Rule 2212 (Telemarketing) Regarding the Frequency of Updates from the National Do-Not-Call Registry
SR-NASD-2002-124 Proposed Amendment to Rule 2260 to Expand the Definition of "Designated Investment Adviser"
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-2006-100 Proposed Amendment to Rule 2860 Regarding Option Disclosure Documents Delivery Requirements
SR-NASD-2006-025 Proposed Amendment to Rule 2860 to Extend a Pilot Program
SR-NASD-2007-007 Proposed Amendment to Rule 2860 to Extend a Pilot Program Increasing Certain Options Position and Exercise Limits
SR-NASD-2006-097 Proposed Amendment to Rule 2860 to Extend a Pilot Program Increasing Certain Options Position and Exercise Limits.
SR-NASD-2005-097 Proposed Amendment to Rule 2860 to Extend Pilot Program
SR-NASD-2005-004 Proposed Amendment to Rule 3010(a)(7) to Require Registered Principals to Attend Annual Compliance Meetings
SR-NASD-2005-033 Proposed Amendment to Rule 3010(b)(2)(L) Relating to Taping Rule "Opt Out" and Exemption Provisions
SR-NASD-2006-110 Proposed Amendment to Rule 6230 to Accommodate Anticipated Trading of Certain TRACE-Eligible Securities on NYSE's ABS, and Technical Amendments to Reflect the Registration of Nasdaq Stock Market, Inc. as a National Securities Exchange.
SR-NASD-2003-078 Proposed Amendment to Rule 6230 to Reduce Reporting Period
SR-NASD-2003-099 Proposed Amendment to Rule 6260 New Issue Notification Procedures

Pages