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Firm compliance professionals can access filings and requests, run reports and submit support tickets.
View the Rule Filing Status Report.
| Rule Filing Number Sort ascending | Title |
|---|---|
| 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 |
| SR-NASD-2005-109 | Proposed Revisions to the Series 4 Examination Program |
| 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 |