Rule Filings

View the Rule Filing Status Report.

Node: field_core_official_dt (year)
Rule Filing Number Title
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
SR-NASD-2007-032 Proposed Rule Change to Adopt New Rule 5150 and Amend Rule 9610 to Provide NASD With Authority to Exempt Members From Certain New NASD Trade Reporting Requirements