Rule Filings

Rule Filing Numbersort ascending Title
SR-NASD-2004-136 Treatment of Commodity Pool Trail Commissions under Rule 2810
SR-NASD-2004-135 Disclosure and Consent Requirements When Trading on a Net Basis With Customers
SR-NASD-2004-133 Proposed Amendments to Rule 9522
SR-NASD-2004-130 Amendments to Rule 2320(g) and Rule 3110(b)(2) Relating to Foreign Securities
SR-NASD-2004-129 Proposed Rule Change Relating to Section 3 of Schedule A to the NASD By-Laws; Filed for Immediate Effectiveness
SR-NASD-2004-126 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-2004-123 Proposal to Delete Rule Series 3400 and IM-2210-4(b) as Obsolete
SR-NASD-2004-122 Arbitrator Web Literacy
SR-NASD-2004-121 Amendments to NASD's Minor Rule Violation Plan
SR-NASD-2004-116 Amendments to Supervisory Control and Inspection Procedures Rules
SR-NASD-2004-115 Amendments to Reduce the Fee for the Regulatory Element of Continuing Education Program
SR-NASD-2004-112 Proposed Extension of the Pilot Relating to Manning Price-Improvement Standards for Decimals
SR-NASD-2004-111 Amendments to Supervisory Control and Inspection Procedures Rules
SR-NASD-2004-110 Amendments to NASD, NASD Regulation, and NASD Dispute Resolution By-Laws Relating to Divestiture of American Stock Exchange
SR-NASD-2004-108 Treatment of Commodity Pool Trail Commissions under Rule 2810
SR-NASD-2004-100 Amendments to the Rule 9600 Series; Filed for Immediate Effectiveness
SR-NASD-2004-098 Proposed Amendments to Eliminate Exemptions from the Continuing Education Regulatory Element Requirements
SR-NASD-2004-095 Policy to Conduct Fingerprint-based Background Checks of NASD Employees and Independent Contractors
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-2004-093 To Establish a Revised Effective Date For Amendments to Order Audit Trail System Rules Relating to Execution Reports
SR-NASD-2004-089 Proposed Amendments to Require Price Improvement to Limit Orders in Certain Circumstances
SR-NASD-2004-088 Discovery Sanctions Rule; Accelerated Effectiveness Requested
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-2004-084 Proposal to Amend Rule 2860-Options Rules
SR-NASD-2004-078 Amendment to NASD Rule 1022 to Establish Qualification Requirements for Supervisors of Research Analysts