Rule Filings
View the Rule Filing Status Report.
Rule Filing Number Sort descending | Title |
---|---|
SR-FINRA-2007-006 | Proposed Rule Change Regarding Historic TRACE Data |
SR-NASD-2007-006 | Proposed Rule Change to NASD By-Laws Relating to Fees for Filing Documents Pursuant to Rule 2710 |
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 |