Rule Filings
View the Rule Filing Status Report.
| Rule Filing Number Sort ascending | Title |
|---|---|
| SR-NASD-2005-011 | Proposed Rule Change to Rule 6530 to Limit the Eligibility for Quotation on the OTCBB |
| SR-NASD-2005-007 | Proposed Rule Change to Amend the Code of Arbitration Procedure by Adopting a New Interpretive Material (IM) 10308 on Mediators Serving as Arbitrators |
| SR-NASD-2005-005 | Proposed Rule 2342 Requiring Members to Provide Customers with SIPC's Web Site and Telephone Number |
| SR-NASD-2005-004 | Proposed Amendment to Rule 3010(a)(7) to Require Registered Principals to Attend Annual Compliance Meetings |
| SR-NASD-2005-001 | Proposed Rule Change to Amend NASD Rule 3360 in Light of the SEC Regulation SHO |
| SR-NASD-2004-189 | Proposed Rule Change to Amend Rule 7010(k) |
| SR-NASD-2004-183 | Proposed New Rule 2821 Regarding Transactions in Deferred Variable Annuities |
| SR-NASD-2004-180 | Proposed Rule Change to Extend the Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Relating to the California Waiver Program Until September 30, 2005 |
| SR-NASD-2004-179 | Proposed Rule Change to Amend Section 13 of Schedule A to the NASD By-Laws to Adjust the Review Charge for Advertisement, Sales Literature, and Other Such Materials Filed With or Submitted to NASD |
| SR-NASD-2004-178 | Proposed Rule Change to Amend Section 13 of Schedule A to the NASD By-Laws to Adjust the Review Charge for Advertisement, Sales Literature, and Other Such Material Filed With or Submitted to NASD |
| SR-NASD-2004-177 | Proposed Rule Change To Amend Section 7 of Schedule A to the NASD By-Laws to Adjust Fees for Filing Documents Pursuant to the Corporate Financing Rule |
| SR-NASD-2004-176 | Proposed Rule Change to Extend Through June 30, 2005, the Current Pilot Price-Improvement Standards for Decimalized Securities Contained in NASD Interpretive Material 2110-2 - Trading Ahead of Customer Limit Order |
| SR-NASD-2004-175 | Proposed Rule Change to Repeal NASD Rule 3110(b)(1), Rule 3210, Rule 3370(b) and Rule 11830 in Light of SEC Regulation SHO |
| SR-NASD-2004-174 | Proposed Amendment to Rule 2212 (Telemarketing) Regarding the Frequency of Updates from the National Do-Not-Call Registry |
| SR-NASD-2004-171 | Amendments to Rule 2340 (Customer Account Statements) |
| SR-NASD-2004-165 | Proposed Rule Change Relating to NASD Rule 2790 |
| SR-NASD-2004-164 | Proposed Rule Change to Amend Rule 10308 of the NASD Code of Arbitration Procedure to Change the Method Used by the Neutral List Selection System |
| SR-NASD-2004-163 | Extension of Pilot for Bond Trade Dissemination Service ("BTDS") Professional Delayed-Time Data Display Fee |
| SR-NASD-2004-160 | Proposed Rule Change To Extend Operation of NASD's Alternative Display Facility as a Temporary Pilot |
| SR-NASD-2004-159 | Proposed Rule Change to Allow NASD to Review on a Pilot Basis Denial of Access Complaints Related to the Alternative Display Facility |
| SR-NASD-2004-153 | Options Position Limits - Exemption for OTC Derivatives Dealers |
| SR-NASD-2004-148 | Proposed Amendment to TRACE Rule 6250 (Dissemination of Transaction Information); Filed for Immediate Effectiveness) |
| SR-NASD-2004-145 | Amendments to Schedule 4 to the NASD By-Laws (Fees for Qualification Examinations) |
| SR-NASD-2004-141 | Amendments to NASD Rule 2711 to Prohibit Participation by Research Analysts in Road Shows |
| SR-NASD-2004-137 | Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Amendments to the OATS Rules to Require that ECNs Capture Routed Order Identifier Information |