Rule Filings

View the Rule Filing Status Report.

Node: field_core_official_dt (year)
Rule Filing Number Title
SR-NASD-2007-053 Proposed Rule Change to Amend the Restated Certificate of Incorporation of NASD to Accommodate the Consolidation of the Member Firm Regulatory Functions of NASD and NYSE Regulation, Inc. and to Conform the Certificate to the Amended NASD By-Laws
SR-NASD-2007-052 Proposed Rule Change to NASD Rule 9700 Series Regarding Procedures on General Grievances Related to NASD Automated Systems
SR-NASD-2007-051 Proposed Rule Change to Amend NASD Rule 7002B to Establish Fees for the Transfer of Transaction Fees Through the NASD/Nasdaq Trade Reporting Facility
SR-NASD-2007-050 Proposed Amendment to Rule 2711 Regarding a Member's Disclosure and Supervisory Review Obligations when Distributing Third-Party Research
SR-NASD-2007-049 Proposed Rule Change to Amend NASD Rule 3013 and Accompanying IM-3013
SR-NASD-2007-048 Proposed Rule Change to Amend NASD Rule 2210 (Communications with the Public)
SR-NASD-2007-047 Proposed Rule Change Relating to Amendments to Certain NASD Rules and Repeal of NASD Short Sale Rules in Light of Amendments to SEC Rule 10a-1 and Regulation SHO
SR-NASD-2007-046 RFN Proposed Rule Change to Allow NASD Members to Use the NASD/Nasdaq Trade Reporting Facility to Process Transaction Fees Charged by One Member to Another Member
SR-NASD-2007-045 Proposed Rule Change Extending the Portfolio Margin Pilot Program Set Forth in Rule 2520(g)
SR-NASD-2007-044 Proposed Rule Change to Amend Rule 2860 Regarding the Delta Hedging Exemption from Equity Options Position Limits
SR-NASD-2007-043 Proposed Rule Change to Amend NASD Rule 7001C to Increase Percentage of Market Data Revenue Shared with NASD/NSX TRF Participants
SR-FINRA-2007-042 Proposed Rule Change to Amend Rule 12302 of the Customer Code and Rule 13302 of the Industry Code to Remove the Page Limit on Statements of Claim Filed through the Online Arbitration Claim Filing System
SR-NASD-2007-042 Proposed Rule Change to Delay the Implementation Date of IM 2210-4, Which Requires Certain Member Firms to Provide a Hyperlink to www.nasd.com
SR-FINRA-2007-041 Proposed Rule Change to Amend NASD Rule 7001B to Adjust Percentage of Market Data Revenue Shared with FINRA/Nasdaq TRF Participants
SR-NASD-2007-041 Proposed Amendments to NASD IM-2110-2 (Trading Ahead of Customer Limit Order)
SR-FINRA-2007-040 Proposed Rule Change to Delay the Effective Date of Certain FINRA Rule Changes Approved in SR-NASD-2004-183
SR-NASD-2007-040 Proposed Rule Change Relating to Clearing Reports for Previously Executed Trades
SR-FINRA-2007-039 Proposed Rule Change to Establish an Exemption for Certain Regulation NMS-Compliant Intermarket Sweep Orders from the Requirements in IM-2110-2 and Rule 2111
SR-NASD-2007-039 Proposed Rule Change to Delay Implementation of Certain NASD Rule Changes Approved in SR-NASD-2005-146
SR-FINRA-2007-038 Proposed Rule Change to Delay the Final Implementation Date of the Rule Changes Approved in SR-NASD-2005-146
SR-NASD-2007-038 The Proposal Amends the Arbitration Codes to Clarify That, for Purposes of the Codes, the Term Member Includes any Broker or Dealer Admitted to Membership in a Self-Regulatory Organization That, with NASD Consent, has Required its Members to Arbitrate Pursuant to the Codes and/or be Treated as Members of NASD for Purposes of the Codes
SR-FINRA-2007-037 Proposed Rule Change to Amend FINRA's NYSE Rule 409(f) Regarding Confirmations
SR-NASD-2007-037 Proposed Rule Change to Amend NASD Rules to Extend the Closing Time of the NASD/NYSE Trade Reporting Facility to 8:00 p.m.
SR-FINRA-2007-036 Proposed Rule Change to Make Technical Amendments to the U4 and U5 and Branch Office Forms
SR-NASD-2007-036 Proposed Amendment to NASD Rule 2342 (SIPC Information)