Rule Filings
View the Rule Filing Status Report.
| Rule Filing Number Sort ascending | Title |
|---|---|
| SR-NASD-2006-081 | Proposed Rule Change to Adopt New NASD Rule 5150 to Require an NASD Member That is Registered as a Nasdaq Market Maker in a Non-Nasdaq Exchange-Listed Security to Comply with NASD Rule 5262 Relating to Trade-Throughs With Respect to that Security. |
| SR-NASD-2006-076 | Proposed Rule Change to Exempt All Securities Included in the NASDAQ 100 Index from the Price Test Set Forth in NASD Rule 5100 (Formerly Rule 3350) |
| SR-NASD-2006-074 | Amendments Relating to the Issuer-Directed Securities Exemption in NASD Rule 2790 |
| SR-NASD-2006-073 | Proposed Rule Change to Amend Interpretive Material 2210-4 Regarding Hyperlinks to NASD's Web Site |
| SR-NASD-2006-071 | Proposed Rule Change Relating to Technical Amendments to Rule 3210 |
| SR-NASD-2006-070 | Proposed Rule Change Relating to Amendment to the Safe Harbor For Business Expansions |
| SR-NASD-2006-069 | Proposed Rule Change Extending the Pilot Relating to Manning Price-Improvement Standards for Decimals. |
| SR-NASD-2006-066 | Proposal to Amend Rule 2340 to Relieve Members from the Requirement to Send Quarterly Account Statements to Customer Accounts that are Carried on a DVP/RVP Basis |
| SR-NASD-2006-065 | Proposed Rule Change to Amend Schedule A to the NASD By-Laws Regarding Branch Office Fees |
| SR-NASD-2006-064 | Proposal to Adopt New NASD Rule 3160 Relating to Extension of Time Requests |
| SR-NASD-2006-063 | Amendment to Section 8 of Schedule A to NASD By-Laws to Increase the Service Charge for Processing Extension of Time Requests |
| SR-NASD-2006-062 | Amendment to Rule 6957(c) to Revise the Effective Date for Recent Amendments to NASD's Order Audit Trail System Rules |
| SR-NASD-2006-060 | Proposal to Adopt Rule 3170 Regarding Electronic Filing of All Regulatory Notices or Documents as Specified by NASD |
| SR-NASD-2006-055 | Proposed Amendments to Section 3 of Schedule A to the NASD By-Laws to Require the Reporting of Transactions Subject to a Regulatory Transaction Fee in an Automated Manner |
| SR-NASD-2006-052 | Rule Change to Revise the Effective Date of Certain Amendments to NASD's Order Audit Trail System Rules |
| SR-NASD-2006-050 | Proposed Rule Change to Extend Operation of NASD's Alternative Display Facility as a Temporary Pilot |
| SR-NASD-2006-046 | Technical Amendments to Rule 3080 Regarding Disclosures to Associated Persons When Signing Form U-4 |
| SR-NASD-2006-045 | Amendments to Rules 2520 and 2522 to Recognize Additional Complex Option Spread Strategies and Amend Provisions for Permitted Offsets |
| SR-NASD-2006-044 | Proposal to Adopt New IM-3060 to Require Members to Adopt Written Policies and Procedures Concerning Business Entertainment |
| SR-NASD-2006-040 | Proposed Amendments to Expand NASD's Current Order Audit Trail System (OATS) Exemptive Authority to Include Recording Requirements |
| SR-NASD-2006-039 | Proposed Amendments to Rules Regarding Trading and Quotation Halts in OTC Equity Securities |
| SR-NASD-2006-038 | Proposed Amendments to Rule 1013 to Adopt a Standardized New Member Application Form |
| SR-NASD-2006-037 | Extension of Effective Date of NASD Rule 3010(g)(2)(A) and IM-3010-1 (Uniform Branch Office Definition) |
| SR-NASD-2006-036 | Proposed Rule Change to Amend NASD Interpretive Material 3013 |
| SR-NASD-2006-035 | Proposed Amendments to IM-2110-2 to Clarify the Application of the Manning Rule to Non-Market Makers |