Rule Filings

Rule Filing Number Titlesort ascending
SR-NASD-2004-044 Proposed Amendments Relating to Short Sale Delivery Requirements
SR-NASD-2003-075 Proposed Amendments Regarding Requests for Underwriting Activity Reports
SR-NASD-2005-114 Proposed Amendments for Rule 2810 Addressing Compensation Fees and Expenses in Public Offerings of REITs and DPPs
SR-NASD-2004-148 Proposed Amendment to TRACE Rule 6250 (Dissemination of Transaction Information); Filed for Immediate Effectiveness)
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-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-2005-133 Proposed Amendment to Section 4 of Schedule A to NASD By-Laws to Increase Certain Qualification Examination Fees
SR-NASD-2004-027 Proposed Amendment to Rule Relating to Execution of Investment Company Portfolio Transactions
SR-NASD-2003-099 Proposed Amendment to Rule 6260 New Issue Notification Procedures
SR-NASD-2003-078 Proposed Amendment to Rule 6230 to Reduce Reporting Period
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-2005-033 Proposed Amendment to Rule 3010(b)(2)(L) Relating to Taping Rule "Opt Out" and Exemption Provisions
SR-NASD-2005-004 Proposed Amendment to Rule 3010(a)(7) to Require Registered Principals to Attend Annual Compliance Meetings
SR-NASD-2005-097 Proposed Amendment to Rule 2860 to Extend Pilot Program
SR-NASD-2006-097 Proposed Amendment to Rule 2860 to Extend a Pilot Program Increasing Certain Options Position and Exercise Limits.
SR-NASD-2007-007 Proposed Amendment to Rule 2860 to Extend a Pilot Program Increasing Certain Options Position and Exercise Limits
SR-NASD-2006-025 Proposed Amendment to Rule 2860 to Extend a Pilot Program
SR-NASD-2006-100 Proposed Amendment to Rule 2860 Regarding Option Disclosure Documents Delivery Requirements
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-2002-124 Proposed Amendment to Rule 2260 to Expand the Definition of "Designated Investment Adviser"
SR-NASD-2004-174 Proposed Amendment to Rule 2212 (Telemarketing) Regarding the Frequency of Updates from the National Do-Not-Call Registry
SR-NASD-2007-035 Proposed Amendment to Rule 11810(i) to Mandate Use of Automated Liability Notification System of Registered Clearing Firm
SR-NASD-2004-057 Proposed Amendment to Reduce the Reporting Period for Transactions in TRACE-Eligible Securities
SR-NASD-2007-036 Proposed Amendment to NASD Rule 2342 (SIPC Information)
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

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