Rule Filings
View the Rule Filing Status Report.
Rule Filing Number Sort ascending | Title |
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SR-NASD-2007-046 RFN | Proposed Rule Change to Allow NASD Members to Use the NASD/Nasdaq Trade Reporting Facility to Process Transaction Fees Charged by One Member to Another Member |
SR-NASD-2007-045 | Proposed Rule Change Extending the Portfolio Margin Pilot Program Set Forth in Rule 2520(g) |
SR-NASD-2007-044 | Proposed Rule Change to Amend Rule 2860 Regarding the Delta Hedging Exemption from Equity Options Position Limits |
SR-NASD-2007-043 | Proposed Rule Change to Amend NASD Rule 7001C to Increase Percentage of Market Data Revenue Shared with NASD/NSX TRF Participants |
SR-FINRA-2007-042 | Proposed Rule Change to Amend Rule 12302 of the Customer Code and Rule 13302 of the Industry Code to Remove the Page Limit on Statements of Claim Filed through the Online Arbitration Claim Filing System |
SR-NASD-2007-042 | Proposed Rule Change to Delay the Implementation Date of IM 2210-4, Which Requires Certain Member Firms to Provide a Hyperlink to www.nasd.com |
SR-FINRA-2007-041 | Proposed Rule Change to Amend NASD Rule 7001B to Adjust Percentage of Market Data Revenue Shared with FINRA/Nasdaq TRF Participants |
SR-NASD-2007-041 | Proposed Amendments to NASD IM-2110-2 (Trading Ahead of Customer Limit Order) |
SR-FINRA-2007-040 | Proposed Rule Change to Delay the Effective Date of Certain FINRA Rule Changes Approved in SR-NASD-2004-183 |
SR-NASD-2007-040 | Proposed Rule Change Relating to Clearing Reports for Previously Executed Trades |
SR-FINRA-2007-039 | Proposed Rule Change to Establish an Exemption for Certain Regulation NMS-Compliant Intermarket Sweep Orders from the Requirements in IM-2110-2 and Rule 2111 |
SR-NASD-2007-039 | Proposed Rule Change to Delay Implementation of Certain NASD Rule Changes Approved in SR-NASD-2005-146 |
SR-FINRA-2007-038 | Proposed Rule Change to Delay the Final Implementation Date of the Rule Changes Approved in SR-NASD-2005-146 |
SR-NASD-2007-038 | The Proposal Amends the Arbitration Codes to Clarify That, for Purposes of the Codes, the Term Member Includes any Broker or Dealer Admitted to Membership in a Self-Regulatory Organization That, with NASD Consent, has Required its Members to Arbitrate Pursuant to the Codes and/or be Treated as Members of NASD for Purposes of the Codes |
SR-FINRA-2007-037 | Proposed Rule Change to Amend FINRA's NYSE Rule 409(f) Regarding Confirmations |
SR-NASD-2007-037 | Proposed Rule Change to Amend NASD Rules to Extend the Closing Time of the NASD/NYSE Trade Reporting Facility to 8:00 p.m. |
SR-FINRA-2007-036 | Proposed Rule Change to Make Technical Amendments to the U4 and U5 and Branch Office Forms |
SR-NASD-2007-036 | Proposed Amendment to NASD Rule 2342 (SIPC Information) |
SR-FINRA-2007-035 | Proposed Amendments to Options Supervision Requirements |
SR-NASD-2007-035 | Proposed Amendment to Rule 11810(i) to Mandate Use of Automated Liability Notification System of Registered Clearing Firm |
SR-FINRA-2007-034 | Proposed Rule Change Relating to Dissemination of Trade Reports for OTC Equity Securities Transactions of Fewer Than 100 Shares |
SR-NASD-2007-034 | A Proposed Rule Change to Create New NASD Rule 1160 (Contact Information Requirements) to Require Members to Verify Required Contact Information, As Well As Update Promptly, and Comply Promptly with any Request For, Such Information |
SR-FINRA-2007-033 | Revisions to the Series 82 Examination Program |
SR-NASD-2007-033 | Proposed Rule Change to Extend for an Additional Two-year Period, to June 23, 2009, NASD's Authority Under the Cease and Desist Pilot Program |
SR-FINRA-2007-032 | Revisions to the Series 72 Examination Program |