SR-NASD-2005-021 |
Guidance Regarding Members' Regulatory Transaction Fees |
SR-NASD-2005-015 |
Proposed Revisions to the Series 55 Examination Program |
SR-NASD-2005-014 |
Proposed Revisions to the Series 11 Examination Program |
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) |