Rule Filings

Rule Filing Numbersort descending Title
SR-NASD-2004-027 Proposed Amendment to Rule Relating to Execution of Investment Company Portfolio Transactions
SR-NASD-2004-031 To Establish Effective Date for NASD Rule 3370, Affirmative Determination Requirements
SR-NASD-2004-039 Reducing the Time for Chairperson Selection
SR-NASD-2004-040 Extension of Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Regarding Waiver of California Arbitrator Disclosure Standards; Immediate Effectiveness Requested
SR-NASD-2004-042 Proposed Foreign Hearing Location Rule
SR-NASD-2004-043 Disclosure of Fees and Expenses in Mutual Fund Performance Sales Material
SR-NASD-2004-044 Proposed Amendments Relating to Short Sale Delivery Requirements
SR-NASD-2004-045 Proposed Amendments to Require Market Order Protection
SR-NASD-2004-049 Series 86/87 Examination and Development Fees
SR-NASD-2004-057 Proposed Amendment to Reduce the Reporting Period for Transactions in TRACE-Eligible Securities
SR-NASD-2004-058 Proposed Amendments to Rule 11870 Relating to Non-Standard Transfers of Customer Account Assets
SR-NASD-2004-078 Amendment to NASD Rule 1022 to Establish Qualification Requirements for Supervisors of Research Analysts
SR-NASD-2004-084 Proposal to Amend Rule 2860-Options Rules
SR-NASD-2004-087 Technical Amendment to Section 4 of Schedule A to the NASD By-Laws and to Rule 10308(d) of the NASD Code of Arbitration Procedure; Filed for Immediate Effectiveness
SR-NASD-2004-088 Discovery Sanctions Rule; Accelerated Effectiveness Requested
SR-NASD-2004-089 Proposed Amendments to Require Price Improvement to Limit Orders in Certain Circumstances
SR-NASD-2004-093 To Establish a Revised Effective Date For Amendments to Order Audit Trail System Rules Relating to Execution Reports
SR-NASD-2004-094 Proposed Amendments to TRACE Rule 6250 and Related TRACE Rules to Disseminate Transaction Information on All TRACE-Eligible Securities and Facilitate Dissemination
SR-NASD-2004-095 Policy to Conduct Fingerprint-based Background Checks of NASD Employees and Independent Contractors
SR-NASD-2004-098 Proposed Amendments to Eliminate Exemptions from the Continuing Education Regulatory Element Requirements
SR-NASD-2004-100 Amendments to the Rule 9600 Series; Filed for Immediate Effectiveness
SR-NASD-2004-108 Treatment of Commodity Pool Trail Commissions under Rule 2810
SR-NASD-2004-110 Amendments to NASD, NASD Regulation, and NASD Dispute Resolution By-Laws Relating to Divestiture of American Stock Exchange
SR-NASD-2004-111 Amendments to Supervisory Control and Inspection Procedures Rules
SR-NASD-2004-112 Proposed Extension of the Pilot Relating to Manning Price-Improvement Standards for Decimals