Rule Filings
View the Rule Filing Status Report.
Rule Filing Number Sort ascending | Title |
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SR-NASD-2005-104 | Proposed Rule Change to Extend the Provisions of NASD Rule 2210(c)(3) and Interpretive Material 2210-5 on a Pilot Basis |
SR-NASD-2005-103 | Proposed Rule Change to Amend NASD Rule 3110 |
SR-NASD-2005-101 | Proposed Rule Change to Amend NASD Rules 6951 and 6952 Regarding Order Audit Trail System Reporting |
SR-NASD-2005-100 | Proposed New Rule 2231 Regarding Transaction-Specific Disclosures for Customers in Debt Securities Transactions |
SR-NASD-2005-098 | Proposed Rule Change to Amend NASD Rule 6740 Regarding Submission of Rule 15c2-11 Information on Non-Nasdaq Securities |
SR-NASD-2005-097 | Proposed Amendment to Rule 2860 to Extend Pilot Program |
SR-NASD-2005-095 | Proposed Rule Change to Amend NASD Rule 6750 Relating to Non-Nasdaq OTC Equity Securities |
SR-NASD-2005-094 | Proposed Rule Change to Amend Rule 10308 of the NASD Code of Arbitration Procedure Relating to the Classification of Arbitrators |
SR-NASD-2005-093 | Proposed Rule Change Relating to Amendments to NASD Rule 3370 |
SR-NASD-2005-092 | Proposed Rule Change to Extend the Operation of NASD's Alternative Display Facility ("ADF") on a Pilot Basis |
SR-NASD-2005-089 | Proposed Rule Change Relating to NASD's Direct Authority for the Activities Related to or in Support of Trading in Over-the-Counter Equity Securities |
SR-NASD-2005-087 | Proposed Rule Change to Reflect Nasdaq's Separation from NASD Upon Nasdaq's Anticipated Approval as a National Securities Exchange |
SR-NASD-2005-086 | Proposed Rule Change to Amendment to Article VIII of the By-Laws, Relating to District Committees and District Nominating Committees |
SR-NASD-2005-085 | Proposed Rule Change to Extend the Pilot Relating to Manning Price-Improvement Standards for Decimals |
SR-NASD-2005-084 | Proposed Rule Change to Amend NASD Rule 3012 Regarding General Supervisory Requirements |
SR-NASD-2005-083 | Proposed Rule Change to Amend Rule 7010(k)(3) Relating to Definition of "Non-Professional" and Use of TRACE Transaction Data |
SR-NASD-2005-080 | Proposed Rule Change to Establish New NASD Rule 2290 Regarding Fairness Opinions |
SR-NASD-2005-079 | Proposed Rule change to Revise Rule 10322 of the NASD Code of Arbitration Procedure, which Pertains to Subpoenas and the Power to Direct Appearances |
SR-NASD-2005-074 | Proposed Rule Change to Amend Rule 7010(k)(3) Relating to Definition of "Non-Professional" and Use of TRACE Transaction Data |
SR-NASD-2005-070 | Proposed Rule Change to Rescind the Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Relating to the Waiver of the California Ethics Standards for Neutral Arbitrators in Contractual Arbitration |
SR-NASD-2005-067 | Proposed Rule Change to Rules 6530 and 7010 to Clarify the Availability of a Process to Review Eligibility Determinations Under Rule 6530 and to Adopt Service Based Fees for Issuers Quoted on the OTC Bulletin Board ("OTCBB") |
SR-NASD-2005-066 | Proposed Rule Change to Amend NASD Rule 3011 and Adopt New Related Interpretive Material, Specifically IM-3011-1 and IM-3011-2 |
SR-NASD-2005-064 | Proposed Amendment to IM-8210-2 |
SR-NASD-2005-063 | Proposed Rule Change to Amend NASD Rule 7010(k) |
SR-NASD-2005-061 | Proposed Rule Change to Extend for an Additional Two-Year Period NASD's Authority Under the Cease and Desist Pilot Program |