Rule Filings
View the Rule Filing Status Report.
| Rule Filing Number Sort ascending | Title |
|---|---|
| SR-NASD-2004-122 | Arbitrator Web Literacy |
| SR-NASD-2004-121 | Amendments to NASD's Minor Rule Violation Plan |
| SR-NASD-2004-116 | Amendments to Supervisory Control and Inspection Procedures Rules |
| SR-NASD-2004-115 | Amendments to Reduce the Fee for the Regulatory Element of Continuing Education Program |
| SR-NASD-2004-112 | Proposed Extension of the Pilot Relating to Manning Price-Improvement Standards for Decimals |
| SR-NASD-2004-111 | Amendments to Supervisory Control and Inspection Procedures Rules |
| SR-NASD-2004-110 | Amendments to NASD, NASD Regulation, and NASD Dispute Resolution By-Laws Relating to Divestiture of American Stock Exchange |
| SR-NASD-2004-108 | Treatment of Commodity Pool Trail Commissions under Rule 2810 |
| SR-NASD-2004-100 | Amendments to the Rule 9600 Series; Filed for Immediate Effectiveness |
| SR-NASD-2004-098 | Proposed Amendments to Eliminate Exemptions from the Continuing Education Regulatory Element Requirements |
| SR-NASD-2004-095 | Policy to Conduct Fingerprint-based Background Checks of NASD Employees and Independent Contractors |
| SR-NASD-2004-094 | Proposed Amendments to TRACE Rule 6250 and Related TRACE Rules to Disseminate Transaction Information on All TRACE-Eligible Securities and Facilitate Dissemination |
| SR-NASD-2004-093 | To Establish a Revised Effective Date For Amendments to Order Audit Trail System Rules Relating to Execution Reports |
| SR-NASD-2004-089 | Proposed Amendments to Require Price Improvement to Limit Orders in Certain Circumstances |
| SR-NASD-2004-088 | Discovery Sanctions Rule; Accelerated Effectiveness Requested |
| SR-NASD-2004-087 | Technical Amendment to Section 4 of Schedule A to the NASD By-Laws and to Rule 10308(d) of the NASD Code of Arbitration Procedure; Filed for Immediate Effectiveness |
| SR-NASD-2004-084 | Proposal to Amend Rule 2860-Options Rules |
| SR-NASD-2004-078 | Amendment to NASD Rule 1022 to Establish Qualification Requirements for Supervisors of Research Analysts |
| SR-NASD-2004-058 | Proposed Amendments to Rule 11870 Relating to Non-Standard Transfers of Customer Account Assets |
| SR-NASD-2004-057 | Proposed Amendment to Reduce the Reporting Period for Transactions in TRACE-Eligible Securities |
| SR-NASD-2004-049 | Series 86/87 Examination and Development Fees |
| SR-NASD-2004-045 | Proposed Amendments to Require Market Order Protection |
| SR-NASD-2004-044 | Proposed Amendments Relating to Short Sale Delivery Requirements |
| SR-NASD-2004-043 | Disclosure of Fees and Expenses in Mutual Fund Performance Sales Material |
| SR-NASD-2004-042 | Proposed Foreign Hearing Location Rule |