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 |
SR-NASD-2005-058 |
Proposed Amendments to NASD Rules 3150 and 3230 |
SR-NASD-2005-053 |
Proposed Rule Change to Delay Implementation Date of Revisions to the Series 4 Examination Program |
SR-NASD-2005-052 |
Proposed Rule Change to Provide Payment to Arbitrators for Deciding Discovery-Related Motions Without a Hearing |
SR-NASD-2005-046 |
Proposed Rule Change to Amend the Arbitration Fees Applicable to Certain Statutory Employment Discrimination Claims |
SR-NASD-2005-045 |
Proposed Rule Change to Amend NASD Rule 3110(f)(2)(B) |
SR-NASD-2005-043 |
Proposed Rule Change to Provide an Exemption From the Research Analyst Qualification Examination for Certain Associated Persons |
SR-NASD-2005-040 |
Proposed Rule Change to Amend Rule 2860 |
SR-NASD-2005-033 |
Proposed Amendment to Rule 3010(b)(2)(L) Relating to Taping Rule "Opt Out" and Exemption Provisions |
SR-NASD-2005-032 |
Proposed Rule Change to Provide Written Explanations in Arbitration Awards Upon the Request of Customers or Associated Persons |
SR-NASD-2005-030 |
Proposed Form BR (Uniform Branch Office form) Conforming Changes and Technical Revisions to the Form U4 and Form U5 |
SR-NASD-2005-026 |
Proposed Rule change to Amend NASD Rule 7010(k) Relating to Transaction Reporting and Compliance Engine (TRACE) Transaction Data and Data Fees |
SR-NASD-2005-025 |
Revisions to the Series 4 Examination Program |
SR-NASD-2005-023 |
Proposed Rule Change Amends Rule 10316 and Adopts Rule 10408 of the NASD Code of Arbitration Procedure to Address Attorney Representation in Arbitration and Mediation |
SR-NASD-2005-022 |
Proposed Rule Change to Provide an Exemption from the Research Analyst Qualification Examination for Certain Associated Persons Who Prepare Technical Research Reports |