Rule Filings

View the Rule Filing Status Report.

Node: field_core_official_dt (year)
Rule Filing Number Title
SR-NASD-2006-112 Proposed Rule Change to Amend NASD Rule 2711 to Codify Existing Interpretive Guidance Relating to Research Analyst Rules
SR-NASD-2006-111 Proposed Rule Change to Amend the Citation to Section 19 of the Securities Exchange Act in NASD Rule 9559
SR-NASD-2006-110 Proposed Amendment to Rule 6230 to Accommodate Anticipated Trading of Certain TRACE-Eligible Securities on NYSE's ABS, and Technical Amendments to Reflect the Registration of Nasdaq Stock Market, Inc. as a National Securities Exchange.
SR-NASD-2006-109 The Proposed Rule Change Amends the Proposed Code of Arbitration Procedure for Customer Disputes and the Proposed Code of Arbitration Procedure for Industry Disputes and the NASD Code of Arbitration Procedure to Address Representation of Parties in Arbitration and Mediation.
SR-NASD-2006-108 Proposed Rule Change Relating to a New NASD Trade Reporting Facility Established in Conjunction with the National Stock Exchange
SR-NASD-2006-105 Proposed Rule Change to Amend NASD Rules 2210 and IM-2210-6 Regarding Investment Analysis Tools
SR-NASD-2006-104 Proposed Rule Change to Reflect the Complete Separation of Nasdaq from NASD upon the Operation of Nasdaq as a National Securities Exchange for All Exchange-Listed Securities
SR-NASD-2006-103 Proposed Rule Change to Adopt IM-6230 and Amend Rule 6250 Regarding Options, Swaps, and Similar Instruments and TRACE Requirements
SR-NASD-2006-102 Proposed Rule Change to Amend Rule 10326 of the NASD Code of Arbitration Procedure to Allow for the Digital Recording of Arbitration Hearings.
SR-NASD-2006-101 Proposed Rule Change to Provide for the Payment of a $200 Honorarium Per Case for each Arbitrator who Considers Contested Motions for the Issuance of Subpoenas.
SR-NASD-2006-100 Proposed Amendment to Rule 2860 Regarding Option Disclosure Documents Delivery Requirements
SR-NASD-2006-099 Proposed Amendments to the Procedures for Exercise of Options in Rule 2860
SR-NASD-2006-098 Technical, Non-Substantive Amendments to Certain NASD Rules Approved in SR-NASD-2006-055 that were Amended by SR-NASD-2005-087
SR-NASD-2006-097 Proposed Amendment to Rule 2860 to Extend a Pilot Program Increasing Certain Options Position and Exercise Limits.
SR-NASD-2006-096 Proposed Rule Change to Amend NASD Rule 4613A and Adopt IM-4613A-1 Relating to Additional Market Participant Identifier Functionality on the Alternative Display Facility
SR-NASD-2006-091 Amendments to NASD Rules to Align Them with Regulation NMS and to Allow for Quoting, Trade Reporting and Clearing Through the Alternative Display Facility for all NMS Stock.
SR-NASD-2006-090 Proposed Rule Change to Adopt a Schedule of Fees and Credits for The Trade Reporting Facility LLC Established by NASD and The Nasdaq Stock Market, Inc.
SR-NASD-2006-089 Proposed Rule Change to Amend NASD Rule 5100 (Short Sale Rule) to Allow Members to use, for a Transitional Period, the Nasdaq Exchange Best (inside) Bid Rather than the National Best (inside) Bid for Purposes of Application of the Rule
SR-NASD-2006-088 A Proposed Rule Change to Adopt Rule 12504 of the Proposed Code of Arbitration Procedure for Customer Disputes ("Customer Code") and Rule 13504 of the Proposed Code of Arbitration Procedure for Industry Disputes ("Industry Code") to Address Motions to Decide Claims Before a Hearing on the Merits.
SR-NASD-2006-087 Proposed Rule Change to Amend NASD Rule 5110 and to Make Technical, Non-Substantive Changes to Certain Other NASD Rules Amended by Approved Rule Change SR-NASD-2005-087
SR-NASD-2006-086 Revisions to the Series 55 Examination Program.
SR-NASD-2006-085 Revisions to the Series 39 Examination Program.
SR-NASD-2006-084 Revisions to the Series 28 Examination Program.
SR-NASD-2006-083 Revisions to the Series 27 Examination Program.
SR-NASD-2006-082 Revisions to the Series 22 Examination Program.