Rule Filings
View the Rule Filing Status Report.
| Rule Filing Number Sort ascending | Title |
|---|---|
| SR-NASD-2004-180 | Proposed Rule Change to Extend the Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Relating to the California Waiver Program Until September 30, 2005 |
| SR-NASD-2004-179 | Proposed Rule Change to Amend Section 13 of Schedule A to the NASD By-Laws to Adjust the Review Charge for Advertisement, Sales Literature, and Other Such Materials Filed With or Submitted to NASD |
| SR-NASD-2004-178 | Proposed Rule Change to Amend Section 13 of Schedule A to the NASD By-Laws to Adjust the Review Charge for Advertisement, Sales Literature, and Other Such Material Filed With or Submitted to NASD |
| SR-NASD-2004-177 | Proposed Rule Change To Amend Section 7 of Schedule A to the NASD By-Laws to Adjust Fees for Filing Documents Pursuant to the Corporate Financing Rule |
| SR-NASD-2004-176 | Proposed Rule Change to Extend Through June 30, 2005, the Current Pilot Price-Improvement Standards for Decimalized Securities Contained in NASD Interpretive Material 2110-2 - Trading Ahead of Customer Limit Order |
| SR-NASD-2004-175 | Proposed Rule Change to Repeal NASD Rule 3110(b)(1), Rule 3210, Rule 3370(b) and Rule 11830 in Light of SEC Regulation SHO |
| SR-NASD-2004-174 | Proposed Amendment to Rule 2212 (Telemarketing) Regarding the Frequency of Updates from the National Do-Not-Call Registry |
| SR-NASD-2004-171 | Amendments to Rule 2340 (Customer Account Statements) |
| SR-NASD-2004-165 | Proposed Rule Change Relating to NASD Rule 2790 |
| SR-NASD-2004-164 | Proposed Rule Change to Amend Rule 10308 of the NASD Code of Arbitration Procedure to Change the Method Used by the Neutral List Selection System |
| SR-NASD-2004-163 | Extension of Pilot for Bond Trade Dissemination Service ("BTDS") Professional Delayed-Time Data Display Fee |
| SR-NASD-2004-160 | Proposed Rule Change To Extend Operation of NASD's Alternative Display Facility as a Temporary Pilot |
| SR-NASD-2004-159 | Proposed Rule Change to Allow NASD to Review on a Pilot Basis Denial of Access Complaints Related to the Alternative Display Facility |
| SR-NASD-2004-153 | Options Position Limits - Exemption for OTC Derivatives Dealers |
| SR-NASD-2004-148 | Proposed Amendment to TRACE Rule 6250 (Dissemination of Transaction Information); Filed for Immediate Effectiveness) |
| SR-NASD-2004-145 | Amendments to Schedule 4 to the NASD By-Laws (Fees for Qualification Examinations) |
| SR-NASD-2004-141 | Amendments to NASD Rule 2711 to Prohibit Participation by Research Analysts in Road Shows |
| SR-NASD-2004-137 | Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Amendments to the OATS Rules to Require that ECNs Capture Routed Order Identifier Information |
| 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 |