Rule Filings
View the Rule Filing Status Report.
| Rule Filing Number |
Title |
|---|---|
| SR-NASD-2003-041 | Proposal to Disseminate Up to Thirty Additional Corporate Bonds Under Trade Reporting and Compliance Engine Rules ("TRACE Rules") |
| 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-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. |