Rule Filings

View the Rule Filing Status Report.

Node: field_core_official_dt (year)
Rule Filing Number Title
SR-FINRA-2007-005 Proposed Rule Change to Amend NASD Rule 11870 and New York Stock Exchange Rule 412
SR-NASD-2007-005 Proposed Rule Change Relating to Operating NASD's Alternative Display Facility on a Permanent Basis
SR-FINRA-2007-004 Proposed Rule Change to Amend NASD Rules 1021 and 1031 Regarding Registration Requirements
SR-NASD-2007-004 Proposed Rule Change to Amend NASD Rule 7010(k) Relating to Transaction Reporting and Compliance Engine (TRACE) Transaction Data and Data Fees
SR-FINRA-2007-003 Proposed Rule Change to Amend NASD Rules 4632C, 6130C and 6130
SR-NASD-2007-003 Proposed Rule Change to Adopt New NASD Rule 7000D Series Relating to Fees and Credits for the NASD/BSE Trade Reporting Facility
SR-FINRA-2007-002 Proposed Amendment of Rule 2860 to Extend a Pilot Program Increasing Certain Options Position and Exercise Limits
SR-NASD-2007-002 Proposed Rule Change to Make Conforming Changes to the NASD/Nasdaq Trade Reporting Facility Rules Consistent with the New Requirements of Regulation NMS
SR-FINRA-2007-001 Proposed Rule Change to Amend NASD Rule 6952 to Exclude Certain Orders and Transactions in Foreign Equity Securities from the Order Audit Trail System Recording and Reporting Requirements
SR-NASD-2007-001 Proposed Rule Change to Amend NASD Rules 4130A, 4300A, 4613A, 4617A, and 4632A Regarding the Alternative Display Facility
SR-NASD-2006-137 Rule Change to Amend NASD Rule 7010 to Modify Pricing for NASD Members Using the ITS CAES System and Inet Facility, Which are Currently Operated by The Nasdaq Stock Market, Inc. and its Subsidiaries as Facilities of NASD
SR-NASD-2006-136 The Proposed Rule Change Removes Unnecessary Cross References and Corrects a Grammatical Error in Rule 10308(a)(5)(B)
SR-NASD-2006-135 Proposal Relating to Implementation of Certain Approved Rule Changes Reflecting the Complete Separation of Nasdaq from NASD
SR-NASD-2006-134 Proposed Rule Change Extending the Pilot Relating to the Price-Improvement Standards for Decimalized Securities in IM-2110-2
SR-NASD-2006-131 Proposed Rule Change to Increase the Frequency of the Short Interest Reporting Requirements Under Rule 3360
SR-NASD-2006-129 Proposed Rule Change to Amend Rule 6130C of the NASD/NSX Trade Reporting Facility Rules to Require Use of a Special Indicator Denoting That Certain Transactions are Reported in Accordance with Section 3 of Schedule A to the NASD By-Laws
SR-NASD-2006-128 Proposed Rule Change to Establish a New Effective Date For Amendments to NASD Rule 2340
SR-NASD-2006-127 Proposed Rule Change to Adopt New NASD Rule 7000C Series Relating to Fees and Credits for the NASD/NSX Trade Reporting Facility
SR-NASD-2006-125 Proposed Rule Change to Amend Rule 2220 to Update the Standards for Options Communications
SR-NASD-2006-124 Proposed Rule 2342 Requiring Members to Provide Customers with SIPC's Web site and Telephone Number.
SR-NASD-2006-121 Proposed Rule Change to Amend Rule 11890(b)(2) to Allow NASD to Designate Officers to Take Action Under the Rule with Respect to Clearly Erroneous Transactions
SR-NASD-2006-120 Proposed Rule Change to Extend the Hours of Operations of the NASD/Nasdaq TRF, the OTC Reporting Facility and the Trade Reporting of Non-Nasdaq Exchange-Listed Securities under the Rule 6400 Series
SR-NASD-2006-118 Proposed Rule Change to Extend the Date by which Eligible Registrants Must Complete Firm-Element Continuing Education to Qualify to Engage in a Security Futures Business
SR-NASD-2006-115 Proposed Rule Change Relating to a New NASD Trade Reporting Facility Established in Conjunction with the Boston Stock Exchange
SR-NASD-2006-113 Proposed Rule Change To Amend NASD Rules 1050 and 2711 Relating to Research Analyst Conflicts of Interest