Rule Filings

View the Rule Filing Status Report.

Node: field_core_official_dt (year)
Rule Filing Number Title
SR-NASD-2007-019 Proposed Rule Change to Revise the Effective Date of Amendments to NASD's Order Audit Trail System Rules
SR-FINRA-2007-018 Proposed Rule Change Relating to Dissemination of Trade Reports for OTC ADRs and Canadian Issues
SR-NASD-2007-018 Proposed Rule Change to Amend the NASD Rule 7000 Series to Delete References to Systems and Services That Will No Longer Be Provided by NASD
SR-FINRA-2007-017 Proposed Rule Change to Amend Rules Relating to Reporting of Odd-Lot Transactions to FINRA
SR-NASD-2007-017 Proposed Rule Change to Amend NASD Rule 7010A Relating to the Alternative Display Facility Quotation Update Fee
SR-FINRA-2007-016 Proposed Rule Change to Reflect the Closing of the NASD/BSE Trade Reporting Facility
SR-NASD-2007-016 Proposed Rule Change to Amend NASD Rules 4632C and 4632D to Reflect "As/Of" Trade Reporting and the Automated Reporting of Trade Cancellations to the NASD/NSX Trade Reporting Facility and the NASD/BSE Trade Reporting Facility
SR-FINRA-2007-015 Proposed Rule Change to Amend NASD Rules 4632E, 6130E, 6140E and 6160E
SR-NASD-2007-015 A Proposed Rule Change to NASD Rules 1012 and 1013 to Require Applicants for Membership to Apply for Membership in the Manner NASD Prescribes
SR-FINRA-2007-014 Proposed Rule Change to Amend NASD Interpretative Material 2210-4
SR-NASD-2007-014 Proposed Rule Change to Make Conforming Changes to the Rules Relating to the NASD/NSX TRF, NASD/BSE TRF and NASD/NYSE TRF Consistent with the New Requirements of Regulation NMS
SR-FINRA-2007-013 Proposed Rule Change Relating to Amendments to NASD Rule 3210 (Short Sale Delivery Requirements)
SR-NASD-2007-013 Amendments to Rules 2520 and 2860 to Adopt a Portfolio Margin Pilot Program
SR-FINRA-2007-012 Proposed Rule Change to Amend Trade Reporting Rules to Require Related Market Center Indicator on Certain Non-Tape Reports Submitted to FINRA
SR-NASD-2007-012 Proposal Relating to Implementation of Certain Approved NASD Rule Changes Upon the Operation of the Nasdaq Stock Market LLC for Non-Nasdaq Exchange-Listed Securities
SR-FINRA-2007-011 Proposed Rule Change to Amend NASD Rule 2711 and NYSE Rule 472
SR-NASD-2007-011 Proposed Rule Change Relating to a New NASD Trade Reporting Facility Established in Conjunction with NYSE Market, Inc.
SR-FINRA-2007-010 Proposed Rule Change to Amend an Exemption to NASD Rule 1050 and NYSE Rule Interpretation 344/02
SR-NASD-2007-010 Proposed Rule Change to Amend NASD Rule 7010 to Modify Pricing for NASD Members Using the ITS/CAES System and Inet Facility
SR-FINRA-2007-009 Proposed Rule Change to Modernize and Simplify NASD Rule 2720
SR-NASD-2007-009 Proposed Rule Change Relating to Extension of NASD's Short Sale Rule Contained in Rule 5100 and Short Sale Standard Contained in IM-5100
SR-FINRA-2007-008 Proposed Rule Change to Amend the Definition of Office of Supervisory Jurisdiction ("OSJ") in NASD Rule 3010(g)(1)
SR-NASD-2007-008 Proposed Rule Change to Extend the Pilot Periods for NASD Rules 4613A(b) and 5140 until January 25, 2008
SR-FINRA-2007-007 Proposed Rule Change Regarding Exemption from TRACE Trade Reporting Requirements
SR-NASD-2007-007 Proposed Amendment to Rule 2860 to Extend a Pilot Program Increasing Certain Options Position and Exercise Limits