Rule Filings

Rule Filing Number Titlesort descending
SR-NASD-2004-027 Proposed Amendment to Rule Relating to Execution of Investment Company Portfolio Transactions
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-2007-026 Proposed Amendment to the Customer, Industry and Mediation Codes to Implement Technical Changes to the Three New Codes Prior to the Effective Date of the Customer and Industry Codes
SR-NASD-2004-148 Proposed Amendment to TRACE Rule 6250 (Dissemination of Transaction Information); Filed for Immediate Effectiveness)
SR-NASD-2005-114 Proposed Amendments for Rule 2810 Addressing Compensation Fees and Expenses in Public Offerings of REITs and DPPs
SR-NASD-2003-075 Proposed Amendments Regarding Requests for Underwriting Activity Reports
SR-NASD-2004-044 Proposed Amendments Relating to Short Sale Delivery Requirements
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-2003-182 Proposed Amendments to "TRACE-Eligible Security" and an Exemption to Trade Reporting
SR-NASD-2003-055 Proposed Amendments to Article VIII (District Committees and District Nominating Committees) of the By-Laws of NASD Regulation, Inc.
SR-NASD-2004-098 Proposed Amendments to Eliminate Exemptions from the Continuing Education Regulatory Element Requirements
SR-NASD-2006-040 Proposed Amendments to Expand NASD's Current Order Audit Trail System (OATS) Exemptive Authority to Include Recording Requirements
SR-FINRA-2012-010 Proposed Amendments to FINRA Rule 6440 (Trading and Quotation Halt in OTC Equity Securities)
SR-NASD-2006-012 Proposed Amendments to IM-2110-2 to Clarify the Application of the Manning Rule to Non-Market Makers
SR-NASD-2006-035 Proposed Amendments to IM-2110-2 to Clarify the Application of the Manning Rule to Non-Market Makers
SR-NASD-2003-007 Proposed Amendments to Membership Application Rules
SR-NASD-2007-041 Proposed Amendments to NASD IM-2110-2 (Trading Ahead of Customer Limit Order)
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-2005-058 Proposed Amendments to NASD Rules 3150 and 3230
SR-NASD-2002-070 Proposed Amendments to NASD Rules Regarding Replacement Hearing Officers' Authority to Participate in Hearing Panel Decisions
SR-FINRA-2007-035 Proposed Amendments to Options Supervision Requirements
SR-FINRA-2009-075 Proposed Amendments to Postponement Fee Rule and Hearing Session Fee Rule under the Arbitration Codes
SR-NASD-2003-175 Proposed Amendments to Repeal Rule 4613A(e)(1) Requiring Same-Priced Quotations on Multiple Markets

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