Rule Filings

View the Rule Filing Status Report.

Node: field_core_official_dt (year)
Rule Filing Number Title
SR-NASD-2006-029 Proposed Amendments to Rule 6530 to Clarify the Removal Process for the Securities of OTCBB Issuers
SR-NASD-2006-025 Proposed Amendment to Rule 2860 to Extend a Pilot Program
SR-NASD-2006-012 Proposed Amendments to IM-2110-2 to Clarify the Application of the Manning Rule to Non-Market Makers
SR-NASD-2006-011 Proposed Amendments to Rule 2211 Regarding Principal Pre-Use Approval of Member Correspondence
SR-NASD-2006-007 Proposed Amendments to Rule 2860 to Revise the Definition of the Term Underlying Index and Allow Members to Calculate Position Limits for Certain Conventional Equity Options
SR-NASD-2006-005 Proposal to Expand the Scope of Rule 2440 and IM-2440 to Apply to All Securities Transactions with or for a Customer
SR-NASD-2006-003 NASD is Filing Notice to Members 06-03, Which Provides Guidance Regarding the Application of New Rule 2111 Prohibiting Members from Trading Ahead of Customer Market Orders Under Certain Circumstances
SR-NASD-2005-152 Proposed Rule Change to Extend the Current Pilot Price-Improvement Standards for Decimalized Securities Contained in NASD Interpretive Material 2110-2
SR-NASD-2005-146 Proposed Rule Change to Expand the Scope of IM-2110-2 (the "Manning Rule")
SR-NASD-2005-144 Proposed Rule Change to Add New NASD Rule 3380 Relating to Order Entry and Execution Practices
SR-NASD-2005-139 Proposed Rule Change to Amend Rule 2111 to Delete References to Rule 6440(f)(2) in Light of Recent Rule Change Repealing Rule 6440(f)
SR-NASD-2005-135 Proposed Amendments Relating to the Status of Former Registered Persons Serving in the Armed Forces of the United States
SR-NASD-2005-134 Proposed Amendments Relating to the Status of Registered Persons and Sole Proprietors Serving in the Armed Forces of the United States
SR-NASD-2005-133 Proposed Amendment to Section 4 of Schedule A to NASD By-Laws to Increase Certain Qualification Examination Fees
SR-NASD-2005-132 Proposed Amendment to Section 4 of Schedule A to NASD By-Laws to Increase the Session Fee for the Regulatory Element Continuing Education Program
SR-NASD-2005-130 Proposed Amendments to NASD Rule 6210(a), the Definition of "TRACE-eligible security," and NASD Rule 6260, the TRACE Notification Provision
SR-NASD-2005-129 Propose Rule Change to Exempt All Securities Included in the Nasdaq 100 Index From the Price Test Set Forth in NASD Rule 3350(a)
SR-NASD-2005-124 Proposed Rule Change to Repeal Rule 6440(f)
SR-NASD-2005-121 Proposed Rule Change Relating to Amendments to Rule 3012, Rule 3013, and IM-3013
SR-NASD-2005-120 Proposed Amendments to Rule 6250 Regarding Dissemination of TRACE-eligible Securities Transactions
SR-NASD-2005-117 Proposal to Make Permanent Bond Mutual Fund Volatility Ratings Rules
SR-NASD-2005-114 Proposed Amendments for Rule 2810 Addressing Compensation Fees and Expenses in Public Offerings of REITs and DPPs
SR-NASD-2005-112 Proposed Rule Change to Amend NASD Rule 3360 Regarding Short Interest Reporting Requirements
SR-NASD-2005-111 Proposed Revisions to the Series 9/10 Examination Program
SR-NASD-2005-110 Proposed Revisions to the Series 6 Examination Program