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NASD Rulemaking Archive: 2004

We encourage the public to submit comments on the following National Association of Securities Dealers, Inc. (NASD) filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.

Chronological List

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

NASD File Number List for 2004

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-NASD-2004-182
34-50930 Dec. 27, 2004 Notice of Filing of Proposed Rule Change Regarding Minor Modifications to the Nasdaq Opening Process For Nasdaq-Listed Stocks
Comments due:  January 26, 2005

SR-NASD-2004-110
34-50926 Dec. 23, 2004 Order Approving a Proposed Rule Change, and Amendment Nos. 1, 2 and 3 Thereto Relating to Divestiture of Its Interest in the American Stock Exchange LLC
See also:   Notice: Rel. No. 34-50403A; Notice: Rel. No. 34-50403

SR-NASD-2004-187
34-50922 Dec. 22, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of Short Sale Rule and Continued Suspension of Primary Market Maker Standards Set Forth in Rule 4612.
Comments due:  January 19, 2005

SR-NASD-2004-188
34-50916 Dec. 22, 2004 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Listing and Trading of Performance Leveraged Upside Securities Based on the Value of the Index
Comments due:  January 20, 2005

SR-NASD-2004-169
34-50897 Dec. 21, 2004 Notice of Filing of Proposed Rule Change to Adopt Additional Listing Standards Applicable to the Securities of The Nasdaq Stock Market, Inc. or an Affiliate
Comments due:  January 19, 2005
See also:   Order: Rel. No. 34-51123

SR-NASD-2003-140
34-50896 Dec. 20, 2004 Notice of Filing of Proposed Rule Changes Relating to the Prohibition of Certain Abuses in the Allocation and Distribution of Shares in Initial Public Offerings ("IPOs")
Comments due:  January 18, 2005
Additional File Nos.:  SR-NYSE-2004-12
See also:   Notice/Order: Rel. No. 34-63010; Notice: Rel. No. 34-61690; Notice: Rel. No. 34-51039
Comments received are available for this notice.

SR-NASD-2004-176
34-50893 Dec. 20, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend an Existing Pilot Relating to Manning Price-Improvement Standards
Comments due:  January 19, 2005

SR-NASD-2004-027
34-50883 Dec. 20, 2004 Order Approving Proposed Rule Change Relating to Investment Company Portfolio Transactions
See also:   Notice: Rel. No. 34-50611

SR-NASD-2004-166
34-50860 Dec. 15, 2004 Order Granting Approval of Proposed Rule Change Modifying Fee Schedule for Other Securities
See also:   Notice: Rel. No. 34-50629

SR-NASD-2004-150
34-50862 Dec. 15, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment 1 Thereto by the National Association of Securities Dealers, Inc. Relating to an Interpretation of Rule 3350
Comments due:  January 11, 2005

SR-NASD-2004-133
34-50848 Dec. 14, 2004 Order Granting Approval of Proposed Rule Change to Amend NASD Rule 9522 ("Initiation of Eligibility Proceeding; Member Regulation Consideration") to give Member Regulation the Authority to Approve the MC-400 Applications of Statutorily Disqualified Persons Who Will Be Engaged Solely in Clerical and/or Ministerial Activities
See also:   Notice: Rel. No. 34-50626

SR-NASD-2004-181
34-50845 Dec. 13, 2004 Notice of Filing of Proposed Rule Change by National Association of Securities Dealers, Inc. Concerning Modifications to The Nasdaq Market Center Execution Service
Comments due:  January 10, 2005
Comments received are available for this notice.

SR-NASD-2004-128
34-50838 Dec. 10, 2004 Order Granting Approval of Proposed Rule Change to Modify the Annual Fee for Certain Issuers Listed on The Nasdaq Stock Market, Inc.
See also:   Notice: Rel. No. 34-50577
Comments received are available for this notice.

SR-NASD-2004-168
34-50823 Dec. 8, 2004 Notice of Filing of and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Certificate of Designation for Preferred Stock of The Nasdaq Stock Market, Inc.
Comments due:  January 5, 2005

SR-NASD-2004-175
34-50822 Dec. 8, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Repeal of Existing NASD Short Sale Rules in Light of SEC Regulation SHO
Comments due:  January 4, 2005
Comments received are available for this notice.

SR-NASD-2004-170
34-50787 Dec. 2, 2004 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto to Establish Combined Nasdaq Market Center and Brut Pricing for Non-NASD Members
Comments due:  December 30, 2004

SR-NASD-2004-022
34-50749 Nov. 29, 2004 Notice of Filing of Proposed Rule Change Relating to the Corporate Financing Rule and Shelf Offerings of Securities
Comments due:  January 21, 2005
Comments received are available for this notice.

SR-NASD-2004-147
34-50753 Nov. 29, 2004 Order Granting Approval to Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 to Modify the Bid Price Compliance Periods on the Nasdaq National Market and SmallCap Market and to Require Non-Canadian Foreign Issuers to Satisfy the Bid Price and Market Value of Publicly Held Shares Requirements Applicable to Domestic Issuers for Continued Listing on the SmallCap Market
See also:   Notice: Rel. No. 34-50541

SR-NASD-2004-153
34-50748 Nov. 29, 2004 Order Approving Proposed Rule Change to Provide a Delta Hedge Exemption from Stock Option Position Limits for OTC Derivatives Dealers Affiliated with NASD Member Firms When Certain Conditions Are Satisfied
See also:   Notice: Rel. No. 34-50539

SR-NASD-2004-142
34-50741 Nov. 29, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Establish Fees for Companies with a Dual Listing on the New York Stock Exchange and Nasdaq
Comments due:  December 27, 2004
See also:   Order: Rel. No. 34-51005

SR-NASD-2004-140
34-50740 Nov. 29, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Eliminate Entry and Application Fees for Exchange-Listed Issuers Transferring Listings to Nasdaq
Comments due:  December 27, 2004
See also:   Order: Rel. No. 34-51004

SR-NASD-2004-132
34-50724 Nov. 23, 2004 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Listing and Trading of Accelerated Return Notes Linked to the Russell 2000 Index
Comments due:  December 21, 2004

SR-NASD-98-74
34-50713 Nov. 22, 2004 Order Granting Approval to Proposed Rule Change as Amended and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 5 Regarding NASD Rule 3110(f) Governing Predispute Arbitration Agreements with Customers
See also:   Notice: Rel. No. 34-42160

SR-NASD-2003-101
34-50714 Nov. 22, 2004 Order Granting Approval to Proposed Rule Change, and Notice of Filing and Order Granting Accelerated Approval to Amendments No. 1 and 2 Thereto Relating to Time Limits for Submission of Claims in Arbitration
See also:   Notice: Rel. No. 34-48225

SR-NASD-2004-157
34-50710 Nov. 19, 2004 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Listing and Trading of Performance Leveraged Upside Securities Linked to the Russell 2000 Index
Comments due:  December 20, 2004

SR-NASD-2004-107
34-50683 Nov. 17, 2004 Order Approving Proposed Rule Change Relating to Computer Generated Quoting in Exchange-Listed Securities
See also:   Notice: Rel. No. 34-50478

SR-NASD-2004-156
34-50678 Nov. 16, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by National Association of Securities Dealers, Inc. Related to ECN Response Time Measurement in the Nasdaq Market Center
Comments due:  December 14, 2004

SR-NASD-2004-167
34-50670 Nov. 16, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Establish Combined Nasdaq Market Center and Brut Pricing for NASD Members
Comments due:  December 13, 2004

SR-NASD-2004-158
34-50647 Nov. 8, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. to Establish Fee for Direct ECN Connections to the Nasdaq Market Center
Comments due:  December 6, 2004

SR-NASD-2004-172
34-50640 Nov. 5, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Pilot Modifications and Minor Modifications to the Nasdaq Opening Process For Nasdaq-Listed Stocks
Comments due:  December 6, 2004

SR-NASD-2004-161
34-50636 Nov. 4, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Pilot Program Waiving Fees and Credits for Orders and Quotes Executed in the Nasdaq Opening Cross
Comments due:  December 1, 2004

SR-NASD-2004-166
34-50629 Nov. 3, 2004 Notice of Filing of Proposed Rule Change Modifying the Other Securities Fee Schedule
Comments due:  December 1, 2004
See also:   Order: Rel. No. 34-50860

SR-NASD-2004-133
34-50626 Nov. 3, 2004 Notice of Filing of Proposed Rule Change Relating to Proposed Amendments to NASD Rule 9522 ("Initiation of Eligibility Proceeding; Member Regulation Consideration")
Comments due:  December 1, 2004
See also:   Order: Rel. No. 34-50848

SR-NASD-2004-163
34-50627 Nov. 3, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of Pilot for Bond Trade Dissemination Service (“BTDS”) Professional Delayed-Time Data Display Fee
Comments due:  November 30, 2004

SR-NASD-2004-151
34-50621 Nov. 2, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Making Technical Modifications to the NASD Trade Reporting Rules
Comments due:  November 30, 2004

SR-NASD-2004-027
34-50611 Oct. 29, 2004 Notice of Filing of Proposed Rule Change Relating to Investment Company Portfolio Transactions
Comments due:  November 26, 2004
See also:   Order: Rel. No. 34-50883
Comments received are available for this notice.

SR-NASD-2004-074
34-50606 Oct. 29, 2004 Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Clarify and Modify Market Maker Quote Re-Entry Obligations
See also:   Notice: Rel. No. 34-50372

SR-NASD-2004-155
34-50604 Oct. 28, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Access Fees for Non-NASD Members Using Nasdaq's Brut Facility
Comments due:  November 29, 2004

SR-NASD-2004-152
34-50602 Oct. 28, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Minor Modifications to the Nasdaq Opening Process For Nasdaq-Listed Stocks
Comments due:  November 26, 2004

SR-NASD-2004-160
34-50601 Oct. 28, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Operation of NASD’s Alternative Display Facility on a Pilot Basis
Comments due:  November 26, 2004

SR-NASD-2004-128
34-50577 Oct. 21, 2004 Notice of Filing of Proposed Rule Change to Modify the Annual Fee for Certain Issuers Listed on The Nasdaq Stock Market, Inc.
Comments due:  November 18, 2004
See also: Order: Rel. No. 34-50838
Comments received are available for this notice.

SR-NASD-2004-146
34-50571 Oct. 20, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 to Permanently Adopt Fees for TotalView Product
Comments due:  November 17, 2004

SR-NASD-2004-145
34-50575 Oct. 20, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 thereto Relating to Amendments to Section 4 of Schedule A to the NASD By-Laws (Fees for Qualification Examinations)
Comments due:  November 17, 2004

SR-NASD-2004-105
34-50573 Oct. 20, 2004 Order Granting Approval to Proposed Rule Change, and Amendment No.1 Thereto to Amend Rule 4350(n) and IM-4350-7 to Provide Time Frames for Foreign Issuers and Foreign Private Issuers to Disclose Certain Code of Conduct Waivers
See also:   Notice: Rel. No. 34-50267

SR-NASD-2004-148
34-50558 Oct. 18, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to TRACE Rule 6250
Comments due:  November 15, 2004

SR-NASD-2004-147
34-50541 Oct. 14, 2004 Notice of Filing of Proposed Rule Change to Bid Price Compliance Periods and Market Value of Publicly Held Shares Requirements
Comments due:  November 12, 2004
See also:   Order: Rel. No. 34-50753

SR-NASD-2004-114
34-50545 Oct. 14, 2004 Order Approving Proposed Rule Change, as Amended, Relating to Fees for Depth of Book Data in Exchange-Listed Securities in the Nasdaq Market Center
See also:   Notice: Rel. No. 34-50304

SR-NASD-2004-153
34-50539 Oct. 14, 2004 Notice of Filing of Proposed Rule Change Relating to a Conditional Exemption from Stock Option Position Limits for OTC Derivatives Dealers
Comments due:  November 12, 2004
See also: Order: Rel. No. 34-50748

SR-NASD-2004-143
34-50537 Oct. 14, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change, and Amendment No. 1 thereto, Relating to Attributable Summary Orders in the Nasdaq Market Center
Comments due:  November 12, 2004

SR-NASD-2004-149
34-50502 Oct. 7, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Access Fees for Nasdaq’s Brut Facility
Comments due:  November 5, 2004

SR-NASD-2004-138
34-50501 Oct. 7, 2004 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change, Relating to the Listing and Trading of Performance Leveraged Upside Securities Based on the Value of the Dow Jones Euro Stoxx 50 Index
Comments due:  November 9, 2004

SR-NASD-2004-118
34-50483 Oct. 1, 2004 Order Granting Approval of Proposed Rule Change Relating to the Introduction of an Extranet Access fee for Extranet Providers to Provide Direct Access Services for Nasdaq Market Data Feeds
See also:   Notice: Rel. No. 34-50262

SR-NASD-2003-201
34-50485 Oct. 1, 2004 Order Granting Approval of Proposed Rule Change, and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 to the Proposed Rule Change, to Amend Schedule A of the NASD By-Laws to Adjust the Trading Activity Fee Rate, and to Add TRACE-Eligible and Municipal Securities as Covered Securities
See also:   Notice: Rel. No. 34-49114
Third Quarter

SR-NASD-2004-107
34-50478 Sep. 30, 2004 Notice of Filing of a Proposed Rule Change Relating to Computer Generated Quoting in Exchange-Listed Securities
Comments due:  November 2, 2004
See also:   Order: Rel. No. 34-50683

SR-NASD-2004-116
34-50477 Sep. 30, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Extending the Operative Date for the Short-Sale ACT Reporting Requirements for Certain Securities
Comments due:
  21 days after date of publication in the Federal Register

SR-NASD-2004-110
34-50403A Sep. 29, 2004 Notice of Filing of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Divestiture of American Stock Exchange; Correction
Comments due:
  October 14, 2004
See also:   Notice: Rel. No. 34-50403A; Notice: Rel. No. 34-50403

SR-NASD-2004-144
34-50468 Sep. 29, 2004 Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to the Listing and Trading of Theravance, Inc. Common Stock
Comments due:
  21 days after publication in the Federal Register

SR-NASD-2004-109
34-50458 Sep. 28, 2004 Order Granting Approval of Proposed Rule Change to Increase the Initial Inclusion Requirements for Certain Foreign Securities Seeking to List on the Nasdaq SmallCap Market
See also:   Order: Rel. No. 34-50183

SR-NASD-2003-13
34-50463 Sep. 28, 2004 Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval of Amendment Nos. 2 and 3 to Adopt New Interpretive Material to NASD Rule 2210(d)(2)(N) to Allow NASD Member Firms to Use Certain Investment Analysis Tools
See also:   Notice: Rel. No. 34-47590

SR-NASD-2004-098
34-50456 Sep. 27, 2004 Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to Proposed Amendments to Eliminate Exemptions from the Continuing Education Regulatory Element Requirements
See also:   Notice: Rel. No. 34-50204

SR-NASD-2004-121
34-50446 Sep. 24, 2004 Order Granting Approval of Proposed Rule Change and Amendment Nos. 1 and 2 to Include Failures to Timely Submit Amendments to Form U5 in Minor Rule Violation Plan
See also:   Notice: Rel. No. 34-50221

SR-NASD-2004-126
34-50447 Sep. 24, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Waiver of California Arbitrator Disclosure Standards
Comments due:
  21 days after publication in the Federal Register

SR-NASD-2004-134
34-50434 Sep. 23, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Multiple Market Participant Identifiers
Comments due:
  21 days after publication in the Federal Register

SR-NASD-2004-137
34-50409 Sep. 17, 2004 Notice of Filing and Order Accelerating Approving of Proposed Rule Change Amending OATS Rules to Require that ECNs Capture Routed Order Identifier Information
Comments due:
  October 14, 2004
 

SR-NASD-2004-110
34-50403 Sep. 16, 2004 Notice of Filing of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Divestiture of American Stock Exchange
Comments due:
  October 14, 2004
See also:   Order: Rel. No. 34-50926; Notice: Rel. No. 34-50403A

SR-NASD-2004-071
34-50405 Sep. 16, 2004 Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Improved Nasdaq Opening Process
See also:   Notice: Rel. No. 34-49842

SR-NASD-2004-119
34-50406 Sep. 16, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Regarding Fees for Orders and Quotes Executed in the Nasdaq Closing Cross
Comments due:  October 14, 2004

SR-NASD-2004-090
34-50391 Sep. 15, 2004 Order Approving Proposed Rule Change and Amendment No. 1 thereto Relating to the Nasdaq Closing Cross
See also:   Notice: Rel. No. 34-50087

SR-NASD-2004-074
34-50372 Sep. 14, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Clarify and Modify Market Maker Quote Re-Entry Obligations
Comments due:
  October 12, 2004
See also:   Order: Rel. No. 34-50606

SR-NASD-2003-176
34-50347 Sep. 10, 2004 Order Approving Proposed Rule Change and Amendments Nos. 1 and 2 Relating to Chief Executive Officer Certification and Designation of Chief Compliance Officer
See also:  Notices: Rel. Nos. 34-50105; 34-49129; 34-48981

SR-NASD-2004-136
34-50335 Sep. 9, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Implementation Date of Notice to Members 04-50 (Treatment of Commodity Pool Trail Commissions Under Rule 2810)
Comments due:
  October 7, 2004
Comments received are available for this notice.

SR-NASD-2004-102
34-50325 Sep. 7 , 2004 Order Approving Proposed Rule Change to Establish a Fee for Company Profile Reports of OTCBB Issuers
See also:   Notice: Rel. No. 34-50037

SR-NASD-2004-094
34-50317 Sep. 3, 2004 Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to Proposed Amendments to TRACE Rule 6250 and Related TRACE Rules to Disseminate Transaction Information on Certain TRACE-Eligible Securities and Facilitate Dissemination of Such Information
See also:   Notice: Rel. No. 34-49920

SR-NASD-2004-127
34-50318 Sep. 3, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the National Quotation Data Service Fee Pilot
Comments due:
  October 1, 2004

SR-NASD-2004-114
34-50304 Sep. 1, 2004 Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Fees for Depth of Book Data in Exchange-Listed Securities in the Nasdaq Market Center
Comments due:
  September 30, 2004
See also:   Order: Rel. No. 34-50545

SR-NASD-2004-101
34-50305 Sep. 1, 2004 Order Granting Approval of Proposed Rule Change to Provide a Monthly Flat Fee for the Internal Distribution of PostData as an Alternative to the Monthly Per-Subscriber Fees Presently Available Under NASD Rule 7010(s)
See also:   Notice: Rel. No. 34-50068

SR-NASD-2004-105
34-50267 Aug. 26, 2004 Notice of Filing of Proposed Rule Change, and Amendment No.1 Thereto, to Amend Rule 4350(n) and IM-4350-7 to Provide Time Frames for Foreign Issuers and Foreign Private Issuers to Disclose Certain Code of Conduct Waivers
Comments due:
  September 22, 2004
See also:   Order: Rel. No. 34-50573

SR-NASD-2004-129
34-50274 Aug. 26, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend, and Provide an Interpretation to, Section 3 of Schedule A to NASD By-Laws and Amend NASD’s Permanent Self-Reporting Form
Comments due:
  September 23, 2004

SR-NASD-2004-124
34-50259 Aug. 25, 2004 Notice of Filing of Proposed Rule Change to Provide an Exception from Shareholder Approval Requirements when Officers, Directors, Employees or Consultants Participate in a Discounted Private Placement
Comments due:
  September 22, 2004

SR-NASD-2004-118
34-50262 Aug. 25, 2004 Notice of Filing of Proposed Rule Change to Introduce an Extranet Access Fee for Extranet Providers to Provide Direct Access Services for Nasdaq Market Data Feeds
Comments due:
  September 22, 2004
See also:   Order: Rel. No. 34-50483
Comments received are available for this notice.

SR-NASD-2004-043
34-50226 Aug. 20, 2004 Notice of Filing of Proposed Rule Change Relating to Disclosure of Fees and Expenses in Mutual Fund Performance Sales Material
Comments due:
  September 17, 2004
See also:   Notice: Rel. No. 34-54103
Comments received are available for this notice.

SR-NASD-2004-121
34-50221 Aug. 19, 2004 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Include Failures to Submit Timely Amendments to Form U5 in Minor Rule Violation Plan
Comments due:
  September 15, 2004
See also:   Order: Rel. No. 34-50446
Comments received are available for this notice.

SR-NASD-2004-092
34-50217 Aug. 18, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment 1 Thereto Relating to Extension of Short Sale Rule and Continued Suspension of Primary Market Maker Standards Set Forth in Rule 4612
Comments due:
  September 15, 2004

SR-NASD-2004-002
34-50218 Aug. 18, 2004 Order Approving Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Thereto to Require an NASD Market Participant to Provide Written Notice Before Denying any NASD Member Direct Electronic Access to its Quote in the ADF

SR-NASD-2004-098
34-50204 Aug. 16, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Proposed Amendments to Eliminate Exemptions from the Continuing Education Regulatory Element Requirements
Comments due:
  September 13, 2004
See also:   Order: Rel. No. 34-50456

SR-NASD-2004-123
34-50192 Aug. 13, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete IM-2210-4(b) and Rule Series 3400 as Obsolete
Comments due:
  September 13, 2004

SR-NASD-2004-079
34-50199 Aug. 13, 2004 Order Granting Approval of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Provide for the Web Publication of Summaries of Interpretations Issued under NASD Rule 4550
See also:   Notice: Rel. No. 34-49935

SR-NASD-2004-109
34-50183 Aug. 11, 2004 Notice of Filing of Proposed Rule Change to Increase the Initial Inclusion Requirements for Certain Foreign Securities Seeking to List on the Nasdaq SmallCap Market
Comments due:
  September 8, 2004
See also:   Order: Rel. No. 34-50458

SR-NASD-2004-065
34-50176 Aug. 10, 2004 Order Approving Proposed Rule Change Regarding the Nasdaq Closing Cross
See also:   Notice: Rel. No. 34-49783

SR-NASD-2004-078
34-50162 Aug. 6, 2004 Order Approving Proposed Rule Change by the National Association of Securities Dealers, Inc. to Establish Certain Qualification Requirements for Supervisors of Research Analysts
See also:   Notice: Rel. No. 34-49857

SR-NASD-2004-099
34-50149 Aug. 5, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Permitting ITS/CAES Market Makers to Use the Automatic Quote Refresh Functionality for ITS Securities
Comments due:
  September 2, 2004

SR-NASD-2004-095
34-50157 Aug. 5, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting a Fingerprinting Program for NASD Employees and Independent Contractors in the State of New York, and, as Dictated by Business Need, in Other Jurisdictions
Comments due:
  September 2, 2004

SR-NASD-2004-117
34-50158 Aug. 5, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Extending the Operative Date for the Short-Sale ACT Reporting Requirements for Certain Securities
Comments due:
  September 2, 2004

SR-NASD-2004-115
34-50144 Aug. 4, 2004 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Amendments to Reduce the Fee for the Regulatory Element of the Continuing Education Program
Comments due:
  September 2, 2004

SR-NASD-2004-097
34-50140 Aug. 3, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Multiple Market Participant Identifiers for Exchange Listed Securities
Comments due:
  August 31, 2004

SR-NASD-2004-113
34-50119 Jul. 29, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change filed with the Commission to modify Nasdaq Market Center pricing.
Comments due:
  August 25, 2004

SR-NASD-2003-176
34-50105 Jul. 28, 2004 Notice of Filing of Amendment No. 2 to a Proposed Rule Change Relating to Chief Executive Officer Certification and Designation of Chief Compliance Officer
Comments due:  August 24, 2004
See also:   Order: Rel. No. 34-50347; Notice: Rel. No. 34-49129; Notice: Rel. No. 34-48981

SR-NASD-2004-091
34-50091 Jul. 27, 2004 Order Granting Approval of Proposed Rule Change to Discontinue the Use of the Nasdaq NEWS Feature of the Nasdaq Workstation II, and to Provide a Different Standard for the Beginning and End of a Trading Halt
See also:   Notice: Rel. No. 34-49898

SR-NASD-2004-112
34-50097 Jul. 27, 2004 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Extend Its Pilot Program Relating to Price-Improvement Standards under the Manning Interpretation
Comments due:
  August 24, 2004

SR-NASD-2004-100
34-50099 Jul. 27, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Amend the Rule 9600 Series
Comments due:
  August 24, 2004

SR-NASD-2004-103
34-50084 Jul. 26, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto to Modify the Methodology for Applying Nasdaq’s Pricing Schedule to Affiliated Members
Comments due:
  August 20, 2004

SR-NASD-2004-090
34-50087 Jul. 26, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 thereto Relating to the Nasdaq Closing Cross
Comments due:
  August 23, 2004
See also:   Order: Rel. No. 34-50391

SR-NASD-2004-101
34-50068 Jul. 23, 2004 Notice of Filing of Proposed Rule Change to Provide a Monthly Flat Fee for the Internal Distribution of PostData as an Alternative to the Monthly Per-Subscriber Fees Presently Available Under NASD Rule 7010(s)
Comments due:
  August 19, 2004
See also:   Order: Rel. No. 34-50305

SR-NASD-2004-076
34-50074 Jul. 23, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change, and Amendments No. 1 and 2 thereto, to Rename Certain of NASDAQ’s Systems and to Make other Technical Corrections
Comments due:
  August 20, 2004
( Text of proposed rules also available)

SR-NASD-2004-021
34-50059 Jul. 22, 2004 Order Granting Approval to Proposed Rule Change and Amendment No. 1 Thereto Relating to Reporting of Cancelled Trades
See also:   Notice: Rel. No. 34-49844

SR-NASD-2004-108
34-50065 Jul. 22, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Treatment of Commodity Pool Trail Commissions
Comments due:
  August 20, 2004
Comments received are available for this notice.

SR-NASD-2004-039
34-50036 Jul. 19, 2004 Order Approving Proposed Rule Change by the National Association of Securities Dealers, Inc. to Reduce the Time for Chairperson Selection
See also:   Notice: Rel. No. 34-49852

SR-NASD-2004-102
34-50037 Jul. 19, 2004 Notice of Filing of a Proposed Rule Change to Establish a Fee for Company Profile Reports of OTCBB Issuers
Comments due:
  August 17, 2004
See also:   Order: Rel. No. 34-50325

SR-NASD-2004-106
34-50038 Jul. 19, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Program Modifying Fees and Credits for Orders and Quotes Executed in the Nasdaq Closing Cross
Comments due:
  August 17, 2004

SR-NASD-2004-058
34-50018 Jul. 14, 2004 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Partial Customer Account Transfers
Comments due:
  August 12, 2004
Second Quarter

SR-NASD-2003-163
34-49950 Jun. 30, 2004 Order Approving Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 2 Thereto Relating to Voluntary Direct Communication Between Parties and Arbitrators
See also:   Notice: Rel. No. 34-49688

SR-NASD-2004-079
34-49935 Jun. 29, 2004 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Provide for the Web Publication of Summaries of Interpretations Issued Under NASD Rule 4550
Comments due:
  July 27, 2004
See also:   Order: Rel. No. 34-50199

SR-NASD-2004-093
34-49927 Jun. 28, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Establishing a Revised Effective Date for Amendments to the Order Audit Trail System Rules Relating to Execution Reports
Comments due:
  July 27, 2004

SR-NASD-2004-094
34-49920 Jun. 25, 2004 Notice of Filing of Proposed Rule Change Relating to Proposed Amendments to TRACE Rule 6250 and Related TRACE Rules to Disseminate Transaction Information on TRACE-Eligible Securities and Facilitate Dissemination
Comments due:
  July 23, 2004
See also:   Order: Rel. No. 34-50317
Comments received are available for this notice.

SR-NASD-2004-087
34-49910 Jun. 24, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Technical Amendments to Section 4 of Schedule A to the NASD By-Laws and to Rule 10308(d) of the NASD Code of Arbitration Procedure
Comments due:
  July 21, 2004

SR-NASD-2004-077
34-49905 Jun. 23, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto to Eliminate Certain Transaction Charges for ITS Securities
Comments due:
  July 21, 2004

SR-NASD-2004-080
34-49901 Jun. 22, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto to Conform Certain Provisions of NASD Rules 4200 and 4350 to the Rules of Another Self-Regulatory Organization, and to Make Additional Revisions
Comments due:
  July 20, 2004

SR-NASD-2004-086
34-49903 Jun. 22, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Clarify the Treatment of Certain Non-Preferential, Ordinary-Course Payments
Comments due:
  July 20, 2004

SR-NASD-2004-091
34-49898 Jun. 21, 2004 Notice of Filing of Proposed Rule Change to Discontinue the Use of the Nasdaq NEWS Feature of the Nasdaq Workstation II and to Provide a Different Standard for the Beginning and End of a Trading Halt
Comments due:
  July 16, 2004
See also:   Order: Rel. No. 34-50091

SR-NASD-2002-162
34-49883 Jun. 17, 2004 Order Approving Proposed Rule Change and Amendments No. 1 and 2 Relating to Internal Controls and Supervisory Control Amendments and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 3.
See also:  Notices: Rel. Nos. 34-48460; 34-48298; 34-47021; 34-46859

SR-NASD-2004-075
34-49872 Jun. 16, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Eliminate Certain Transaction Charges for ITS Securities
Comments due:
  July 14, 2004

SR-NASD-2004-01
34-49875 Jun. 16, 2004 Order Granting Approval of Proposed Rule Change Relating to Arbitrator Training Fees
See also:   Notice: Rel. No. 34-49674

SR-NASD-2004-016
34-49876 Jun. 16, 2004 Order Granting Approval of Proposed Rule Change Relating to Implementation of a Web-based Arbitration Claim Notification and Filing Procedure
See also:   Notice: Rel. No. 34-49673

SR-NASD-2004-078
34-49857 Jun. 15, 2004 Notice of Filing of Proposed Rule Change to Establish Certain Qualification Requirements for Supervisors of Research Analysts
Comments due:
  July 14, 2004
See also:   Order: Rel. No. 34-50162

SR-NASD-2004-039
34-49852 Jun. 14, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 Relating to Reducing the Time for Chairperson Selection
Comments due:
  July 9, 2004
See also:   Order: Rel. No. 34-50036

SR-NASD-2004-057
34-49854 Jun. 14, 2004 Order Granting Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Proposed Amendments to Reduce the Reporting Period for Transactions in TRACE-Eligible Securities
See also:   Notice: Rel. No. 34-49607

SR-NASD-2004-021
34-49844 Jun. 10, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Reporting of Cancelled Trades
Comments due:
  July 8, 2004
See also:   Order: Rel. No. 34-50059

SR-NASD-2003-69
34-49845 Jun. 10, 2004 Order Approving Proposed Rule Change Regarding Failure to Pay Arbitration Awards
See also:   Notice: Rel. No. 34-49636

SR-NASD-2004-71
34-49842 Jun. 9, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 thereto Regarding Improved Nasdaq Opening Process
Comments due:
  July 8, 2004
See also:   Order: Rel. No. 34-50405
Comments received are available for this notice.

SR-NASD-2004-056
34-49833 Jun. 8, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Short-Sale ACT Reporting Requirements
Comments due:
  July 8, 2004
Comments received are available for this notice.

SR-NASD-2004-083
34-49796 Jun. 2, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Non-Standard Settlement Trades
Comments due:
  June 29, 2004

SR-NASD-2004-065
34-49783 May 27, 2004 Notice of Filing of Proposed Rule Change Regarding the Nasdaq Closing Cross
Comments due:
  June 25, 2004
See also:   Order: Rel. No. 34-50176

SR-NASD-2004-055
34-49752 May 21, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto
Comments due:
  June 17, 2004

SR-NASD-2004-081
34-49746 May 20, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Unit Listing Standards.
Comments due:
  June 17, 2004

SR-NASD-2004-069
34-49732 May 19, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Redesignate NASD Rules 4200A and 4350A
Comments due:
  June 15, 2004

SR-NASD-2004-034
34-49733 May 19, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 thereto to Allow Members to Report Certain Trades Through SuperMontage
Comments due:
  June 16, 2004

SR-NASD-2004-072
34-49738 May 19, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Establish Fees for the Use of the Nasdaq Workstation II Service by NASD Members Via Digital Subscriber Lines
Comments due:
  June 16, 2004

SR-NASD-2004-061
34-49715 May 17, 2004 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Listing and Trading of 97% Protected Notes Linked to the Global Equity Basket
Comments due:
  June 14, 2004

SR-NASD-2003-164
34-49716 May 17, 2004 Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Relating to the Adjournment of an Arbitration Hearing Within Three Business Days of the First Scheduled Hearing Session
See also:   Notice: Rel. No. 34-49545

SR-NASD-2003-163
34-49688 May 12, 2004 Notice of Filing of Proposed Rule Change Relating to Voluntary Direct Communications Between Parties and Arbitrators
Comments due:
  21 days after publication in the Federal Register
See also:   Order: Rel. No. 34-49950
Comments received are available for this notice.

SR-NASD-2004-016
34-49673 May 10, 2004 Notice of Filing of Proposed Rule Change Relating to Implementation of a Web-based Arbitration Claim Notification and Filing Procedure
Comments due:
  June 4, 2004
See also:   Order: Rel. No. 34-49876

SR-NASD-2004-01
34-49674 May 10, 2004 Notice of Filing of Proposed Rule Change Relating to Arbitrator Training Fee
Comments due:
  June 4, 2004
See also:   Order: Rel. No. 34-49875

SR-NASD-2004-073
34-49667 May 7, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Change the Minimum Term for Selected Equity-linked Debt Securities
Comments due:
  June 4, 2004

SR-NASD-2004-068
34-49670 May 7, 2004 Notice of Filing and Order Granting Accelerated Approval of a proposed rule change relating to the listing and trading of Accelerated Return Notes linked to the Nikkei 225 Index.
Comments due:
  June 7, 2004

SR-NASD-2004-070
34-49660 May 6, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit Shareholder Action by Written Consent
Comments due:
  June 2, 2004

SR-NASD-2004-036
34-49663 May 6, 2004 Order Granting Approval of a Proposed Rule Change to Revise a Update the Fee Schedule for OTC Bulletin Board Historical Trading Activity Reports
See also:   Notice: Rel. No. 34-49486

SR-NASD-2004-064
34-49650 May 4, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Technical Corrections to the Supermontage Rules
Comments due:
  June 1, 2004

SR-NASD-2004-067
34-49648 May 3, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend NASD Rule 7010 to Modify the Charges Paid by Members Receiving Nasdaq’s Service for Trading Exchange-Listed Securities
Comments due:
  June 1, 2004

SR-NASD-2003-69
34-49636 Apr. 30, 2004 Notice of Filing of Proposed Rule Change Regarding Failure to Pay Arbitration Awards
Comments due:
  May 28, 2004
Comments received are available for this notice.

See also:   Order: Rel. No. 34-49845

SR-NASD-2004-023
34-49628 Apr. 29, 2004 Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Amend the Order Audit Trail System Rules Relating to Execution Reports
See also:   Notice: Rel. No. 34-49439

SR-NASD-2004-063
34-49622 Apr. 27, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify NASD Rule 4619 to Correct a Typographical Error
Comments due:
  May 25, 2004

SR-NASD-2004-057
34-49607 Apr. 23, 2004 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Relating to Proposed Amendments to Reduce the Reporting Period for Transactions in TRACE-Eligible Securities
Comments due:
  May 20, 2004
See also:   Order: Rel. No. 34-49854
Comments received are available for this notice.

SR-NASD-2004-066
34-49604 Apr. 22, 2004 Notice of Filing of Proposed Rule Change Related to Direct ECN Connection to SuperMontage
Comments due:
  May 21, 2004

SR-NASD-2004-062
34-49603 Apr. 22, 2004 Notice of Filing and Immediate Effectiveness of Proposed to Modify the Pricing for Trading Nasdaq-Listed Securities on SuperMontage
Comments due:
  May 21, 2004

SR-NASD-2004-051
34-49597 Apr. 21, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendments No. 1 and No. 2 Thereto Relating to the Use of Summary Orders for NNMS Order-Delivery ECNs Using the SIZE MPID in SuperMontage
Comments due:
  May 19, 2004

SR-NASD-2003-159
34-49581 Apr. 19, 2004 Order Granting Approval of Proposed Rule Change and Amendment No. 1 to Permit Nasdaq to Append a New Modifier to Trade Reports of Pre-Open and After-Hours Trades Not Submitted to Nasdaq's Autoted Confirmation Transaction Service, and Other Changes Regarding Trade Reporting

SR-NASD-2003-95
34-49573 Apr. 16, 2004 Order Granting Approval to a Proposed Rule Change Relating to Arbitrator Classification and Disclosure in NASD Arbitrations
See also:   Notice: Rel. No. 34-48347

SR-NASD-2004-048
34-49576 Apr. 16, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Create a Pilot Program Modifying SuperMontage Fees and Credits for Orders and Quotes Executed in the Nasdaq Closing Cross
Comments due:
  May 14, 2004

SR-NASD-2004-059
34-49556 Apr. 12, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding an Interpretation to its Trade Through Rule for Exchange-Listed Securities
Comments due:
  May 11, 2004

SR-NASD-2004-046
34-49547 Apr. 9, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 thereto Regarding SuperMontage Postable Auto-Ex Orders
Comments due:
  May 6, 2004

SR-NASD-2003-164
34-49545 Apr. 8, 2004 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Relating to the Adjournment of a Hearing within Three Business Days of the First Scheduled Hearing Session
See also:   Order: Rel. No. 34-49716

SR-NASD-2004-060
34-49534 Apr. 7, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Nasdaq Closing Cross
Comments due:
  May 4, 2004

SR-NASD-2004-018
34-49535 Apr. 7, 2004 Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Amend the Procedures for the Review of Nasdaq Listing Determinations

SR-NASD-2002-108
34-49537 Apr. 7, 2004 Order Approving Proposed Rule Changes Relating to Business Continuity Planning of Members and Notice of Filing and Order Granting Accelerated Approval of NASD Amendment Nos. 6, 7, and 8
File No.:
  SR-NYSE-2002-35
See also:   Notice: Rel. No. 34-48503; Notice: Rel. No. 34-46444

SR-NASD-2003-182
34-49522 Apr. 2, 2004 Order Granting Approval of Proposed Rule Change Relating to Proposed Amendments to "TRACE-Eligible Security" and an Exemption to Trade Reporting
See also:   Notice: Rel. No. 34-48926

SR-NASD-2004-049
34-49527 Apr. 2, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Examination and Development Fees in Connection with Series 86/87 Fees for Research Analysts
Comments due:
  May 5, 2004
First Quarter

SR-NASD-2004-054
34-49512 Mar. 31, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Permanent the Current Pilot Program for the Imposition of a Fee for Written Interpretations of Nasdaq Listing Rules
Comments due:
  April 29, 2004
Comments received are available for this notice.

SR-NASD-2003-184
34-49497 Mar. 29, 2004 Order Granting Approval of Proposed Rule Change to Require Members to Review and Update Executive Representative Contact Information on a Quarterly Basis
Comments received are available for this notice.

SR-NASD-2004-040
34-49452 Mar. 26, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend, for an Additional Six-Month Period, a Pilot Rule Regaing Waiver of California Arbitrator Disclosure Standards
Comments due:
  April 21, 2004

SR-NASD-2004-036
34-49486 Mar. 26, 2004 Notice of Filing of a Proposed Rule Change to Modify NASD Rule 7010(p)(3) to Revise and Update the Fee Schedule for OTC Bulletin Board Historical Trading Activity Reports
Comments due:
  April 22, 2004
See also:   Order: Rel. No. 34-49663

SR-NASD-2004-037
34-49471 Mar. 25, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Revising the Pilot Relating to the Issuance of Market Participant Identifiers
Comments due:
  April 21, 2004

SR-NASD-2004-020
34-49464 Mar. 24, 2004 Order Granting Accelerated Approval of Proposed Rule Changes by the New York Stock Exchange, Inc. and the National Association of Securities Dealers, Inc. Relating to Certain Prerequisites to and Exemptions from Taking the Research Analyst Qualification Examination ("Series 86/87")
See also:   Notice: Rel. No. 34-49314

SR-NASD-2004-023
34-49439 Mar. 17, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Amend Order Audit Trail System Rules Relating to Execution Reports
Comments due:
  April 14, 2004
See also:   Order: Rel. No. 34-49628

SR-NASD-2004-032
34-49427 Mar. 16, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto to Modify NASD Rule 4619 with Respect to Certain Excused Withdrawal Requests
Comments due:
  April 13, 2004

SR-NASD-2003-173
34-49406 Mar. 11, 2004 Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Through Its subsidiary, The Nasdaq Stock Market, Inc., Relating to the Nasdaq Closing Cross
See also:   Notice: Rel. No. 34-48878

SR-NASD-2004-020
34-49314 Feb. 24, 2004 Notice of Filing of Proposed Rule Changes by the New York Stock Exchange, Inc. and the National Association of Securities Dealers, Inc. Relating to Certain Prerequisites to and Exemptions from Taking the Research Analyst Qualification Examination ("Series 86/87")
See also:   Order: Rel. No. 34-49464
Comments received are available for this notice.

File No.:
  SR-NYSE-2004-03

SR-NASD-2004-031
34-49285 Feb. 20, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Establishing an Effective Date For NASD Rule 3370, Affirmative Determination Requirements
Comments received are available for this notice.

SR-NASD-2003-128
34-49220 Feb. 11, 2004 Order Approving Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto Relating to the Establishment of a Maximum ECN Access Fee in SuperMontage and the Elimination of SuperMontage's Price/Time with Fee Consideration and Price/Size Execution Algorithms
Comments received are available for this notice.

SR-NASD-2003-176
34-49129 Jan. 27, 2004 Notice of Designation of Longer Period for Commission Action and Extension of Comment Period on a Proposed Rule Change Relating to Chief Executive Officer and Chief Compliance Officer Certification
Comments due:  21 days after publication in the Federal Register
See also:   Order: Rel. No. 34-50347; Notice: Rel. No. 34-50105; Notice: Rel. No. 34-48981

SR-NASD-2003-201
34-49114 Jan. 22, 2004 Notice of Filing of Proposed Rule Change to Amend the Trading Activity Fee Rate and Add TRACE-Eligible and Municipal Securities as Covered Securities
Comments due:  21 days after publication in the Federal Register
Comments received are available for this notice.
See also:   Order: Rel. No. 34-50485

SR-NASD-2004-06
34-49106 Jan. 20, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Entry of Locking or Crossing Bids or Offers by ECNs Participating in Nasdaq's SuperMontage System
Comments received are available for this notice.

SR-NASD-2003-157
34-49086 Jan. 15, 2004 Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto, and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 2 Thereto, Relating to the Permanent Fee Structure for the Trade Reporting and Compliance Engine (TRACE)
See also:   Notice: Rel. No. 34-48714

SR-NASD-2004-05
34-49081 Jan. 14, 2004 Notice of Filing of Proposed Rule Change to Amend NASD Rule 2370 Relating to Certain Lending Arrangements Between Registered Persons and Customers
Comments received are available for this notice.

 

SR-NASD-2003-143
34-49020 Jan. 5, 2004 Order Granting Approval to a Proposed Rule Change and Amendments Nos. 1, 2, and 3 Thereto to Establish a New "Auto-Ex" Order in Nasdaq's SuperMontage System
See also:   Notice: Rel. No. 34-48675


NASD File Number List for 2004

Release No. Date Details

SR-NASD-2004-190
34-50956 Jan. 3, 2005 Notice of Filing and and Immediate Effectiveness of Proposed Rule Change to Establish the Minimum Quotation Increment for the BRUT ECN System
Comments due:  January 31, 2005

SR-NASD-2004-189
34-50977 Jan. 6, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trade Reporting and Compliance Engine (“TRACE”) Fees and Implementation Date of Stage Two of Dissemination of TRACE Transaction Information
Comments due:  February 2, 2004

SR-NASD-2004-188
34-50916 Dec. 22, 2004 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Listing and Trading of Performance Leveraged Upside Securities Based on the Value of the Index
Comments due:  January 20, 2005

SR-NASD-2004-187
34-50922 Dec. 22, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of Short Sale Rule and Continued Suspension of Primary Market Maker Standards Set Forth in Rule 4612.
Comments due:  January 19, 2005

SR-NASD-2004-185
34-51814 Jun. 9, 2005 Order Approving a Proposed Rule Change and Amendments Nos. 1 and 2 Thereto to Establish a Unitary Fee Schedule for Distribution of Real Time Data Feed Products Containing Nasdaq Market Center Data
34-51598 Apr. 21, 2005 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Establish a Unitary Fee Schedule for Distribution of Real Time Data Feed Products Containing Nasdaq Market Center Data
Comments due:  May 19, 2005
Comments received are available for this notice.

SR-NASD-2004-183
34-56375A Sep. 14, 2007 Notice of Filing of Amendment Nos. 3 and 4 and Order Granting Accelerated Approval of the Proposed Rule, as Amended, Related to Sales Practice Standards and Supervisory Requirements for Transactions in Variable Annuities (Correction)
34-56375 Sep. 7, 2007 Notice of Filing of Amendment Nos. 3 and 4 and Order Granting Accelerated Approval of the Proposed Rule, as Amended, Related to Sales Practice Standards and Supervisory Requirements for Transactions in Deferred Variable Annuities
Comments due:  October 4, 2007
Comments received are available for this notice.
34-54023 Jun. 21, 2006 Notice of Filing Amendment No. 2 to Proposed Rule Relating to Sales Practice Standards and Supervisory Requirements for Transactions in Deferred Variable Annuities
Comments due:  July 19, 2006
Comments received are available for this notice.
34-52191 Aug. 2, 2005 Notice of Extension of Comment Period for Proposed Rule and Amendment No. 1 Thereto Relating to Sales Practice Standards and Supervisory Requirements for Transactions in Deferred Variable Annuities
Comments due:  September 19, 2005
Comments received are available for this notice.
34-52046A Jul. 19, 2005 Notice of Filing of Proposed Rule and Amendment No. 1 Thereto Relating to Sales Practice Standards and Supervisory Requirements for Transactions in Deferred Variable Annuities (Correction)
Comments due:  August 11, 2005
Comments received are available for this notice.

SR-NASD-2004-182
34-50930 Dec. 27, 2004 Notice of Filing of Proposed Rule Change Regarding Minor Modifications to the Nasdaq Opening Process For Nasdaq-Listed Stocks
Comments due:  January 26, 2005

SR-NASD-2004-181
34-50845 Dec. 13, 2004 Notice of Filing of Proposed Rule Change Concerning Modifications to The Nasdaq Market Center Execution Service
Comments due:  January 10, 2005
Comments received are available for this notice.

SR-NASD-2004-180
34-51213 Feb. 16, 2005 Order Approving Proposed Rule Change Regarding Waiver of California Arbitrator Standards
34-50971 Jan. 6, 2005 Notice of Filing of Proposed Rule Change Regarding Waiver of California Arbitrator Disclosure Standards
Comments due:  February 4, 2005

SR-NASD-2004-179
34-51075 Jan. 24, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Section 13 of Schedule A of the NASD By-Laws (Review Charge for Advertisement, Sales Literature, and Other Such Material Filed With or Submitted to NASD)
Comments due:  February 18, 2005

SR-NASD-2004-177
34-50984 Jan. 6, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Filing Documents Pursuant to NASD Rule 2710 (Corporate Financing Rule -- Underwriting Terms and Agreements)
Comments due:  February 3, 2004
Comments received are available for this notice.

SR-NASD-2004-176
34-50893 Dec. 20, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend an Existing Pilot Relating to Manning Price-Improvement Standards
Comments due:  January 19, 2005

SR-NASD-2004-175
34-50822 Dec. 8, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Repeal of Existing NASD Short Sale Rules in Light of SEC Regulation SHO
Comments due:  January 4, 2005
Comments received are available for this notice.

SR-NASD-2004-174
34-51023 Jan. 11, 2005 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to Frequency of Updates From the National Do-Not-Call Registry
Comments due:  February 9, 2005

SR-NASD-2004-173
34-51326 Mar. 7, 2005 Order Approving a Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Thereto to Establish Rules Governing the Operation of Nasdaq's Brut Facility
34-51078 Jan. 25, 2005 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Establish Rules Governing the Operation of Nasdaq's Brut Facility
Comments due:  February 22, 2005

SR-NASD-2004-172
34-50640 Nov. 5, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Pilot Modifications and Minor Modifications to the Nasdaq Opening Process For Nasdaq-Listed Stocks
Comments due:  December 6, 2004

SR-NASD-2004-171
34-54411A Oct. 6, 2006 Order Approving Proposed Rule Change Relating to Rule 2340 Concerning Customer Account Statements (Correction)
Comments received are available for this notice.
34-54411 Sep. 7, 2006 Order Approving Proposed Rule Change Relating to Rule 2340 Concerning Customer Account Statements
Comments received are available for this notice.
34-51181 Feb. 10, 2005 Notice of Proposed Rule Change and Amendment No. 1 thereto Relating to Amendments to Rule 2340 (Customer Account Statements)
Comments due:  March 9, 2005
Comments received are available for this notice.

SR-NASD-2004-170
34-50787 Dec. 2, 2004 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto to Establish Combined Nasdaq Market Center and Brut Pricing for Non-NASD Members
Comments due:  December 30, 2004

SR-NASD-2004-169
34-51123 Feb. 2, 2005 Order Granting Approval to Proposed Rule Change and Amendment No. 3 Thereto to Adopt Additional Listing Standards Applicable to the Securities of The Nasdaq Stock Market, Inc. or an Affiliate
34-50897 Dec. 21, 2004 Notice of Filing of Proposed Rule Change to Adopt Additional Listing Standards Applicable to the Securities of The Nasdaq Stock Market, Inc. or an Affiliate
Comments due:  January 19, 2005

SR-NASD-2004-168
34-50823 Dec. 8, 2004 Notice of Filing of and Immediate Effectiveness of Proposed Rule Change Relating to Certificate of Designation for Preferred Stock of The Nasdaq Stock Market, Inc.
Comments due:  January 5, 2005

SR-NASD-2004-167
34-50670 Nov. 16, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Establish Combined Nasdaq Market Center and Brut Pricing for NASD Members
Comments due:  December 13, 2004

SR-NASD-2004-166
34-50860 Dec. 15, 2004 Order Granting Approval of Proposed Rule Change Modifying Fee Schedule for Other Securities
34-50629 Nov. 3, 2004 Notice of Filing of Proposed Rule Change Modifying the Other Securities Fee Schedule
Comments due:  December 1, 2004

SR-NASD-2004-165
34-52209A Aug. 22, 2005 Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to NASD Rule 2790; Corrected
34-52209 Aug. 4, 2005 Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to NASD Rule 2790
34-51735 May 24, 2005 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to NASD Rule 2790
Comments received are available for this notice.

SR-NASD-2004-164
34-51339 Mar. 9, 2005 Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to the Random Selection of Arbitrators by the Neutral List Selection System
34-51083 Jan. 26, 2005 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Random Selection of Arbitrators by the Neutral List Selection System
Comments due:  February 22, 2005
Comments received are available for this notice.

SR-NASD-2004-163
34-50627 Nov. 3, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of Pilot for Bond Trade Dissemination Service (“BTDS”) Professional Delayed-Time Data Display Fee
Comments due:  November 30, 2004

SR-NASD-2004-162
34-52712 Nov. 1, 2005 Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Establish Fee and Notice Requirements for Substitution Listing Events and Other Corporate Changes
34-52430 Sep. 14, 2005 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Establish Fee and Notice Requirements for Substitution Listing Events and to provide Additional Transparency for Changes Requiring a Record-keeping Fee
Comments due:  October 13, 2005

SR-NASD-2004-161
34-50636 Nov. 4, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Pilot Program Waiving Fees and Credits for Orders and Quotes Executed in the Nasdaq Opening Cross
Comments due:  December 1, 2004

SR-NASD-2004-160
34-50601 Oct. 28, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Operation of NASD’s Alternative Display Facility on a Pilot Basis
Comments due:  November 26, 2004

SR-NASD-2004-159
34-51356 Mar. 10, 2005 Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Allow NASD, on a Pilot Basis, to Review Denial of Access Complaints Related to the Alternative Display Facility

SR-NASD-2004-159
34-51092 Jan. 28, 2005 Notice of Filing of Proposed Rule Change to Allow NASD to Review on a Pilot Basis Denial of Access Complaints Related to the Alternative Display Facility
Comments due:  February 25, 2005

SR-NASD-2004-158
34-50647 Nov. 8, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Fee for Direct ECN Connections to the Nasdaq Market Center
Comments due:  December 6, 2004

SR-NASD-2004-157
34-50710 Nov. 19, 2004 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Listing and Trading of Performance Leveraged Upside Securities Linked to the Russell 2000 Index
Comments due:  December 20, 2004

SR-NASD-2004-156
34-50678 Nov. 16, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to ECN Response Time Measurement in the Nasdaq Market Center
Comments due:  December 14, 2004

SR-NASD-2004-155
34-50604 Oct. 28, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Access Fees for Non-NASD Members Using Nasdaq's Brut Facility
Comments due:  November 29, 2004

SR-NASD-2004-153
34-50748 Nov. 29, 2004 Order Approving Proposed Rule Change to Provide a Delta Hedge Exemption from Stock Option Position Limits for OTC Derivatives Dealers Affiliated with NASD Member Firms When Certain Conditions Are Satisfied
34-50539 Oct. 14, 2004 Notice of Filing of Proposed Rule Change Relating to a Conditional Exemption from Stock Option Position Limits for OTC Derivatives Dealers
Comments due:  November 12, 2004

SR-NASD-2004-152
34-50602 Oct. 28, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Minor Modifications to the Nasdaq Opening Process For Nasdaq-Listed Stocks
Comments due:  November 26, 2004

SR-NASD-2004-151
34-50621 Nov. 2, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Making Technical Modifications to the NASD Trade Reporting Rules
Comments due:  November 30, 2004

SR-NASD-2004-150
34-50862 Dec. 15, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment 1 Thereto Relating to an Interpretation of Rule 3350
Comments due:  January 19, 2005

SR-NASD-2004-149
34-50502 Oct. 7, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Access Fees for Nasdaq’s Brut Facility
Comments due:  November 5, 2004

SR-NASD-2004-148
34-50558 Oct. 18, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to TRACE Rule 6250
Comments due:  November 15, 2004

SR-NASD-2004-147
34-50753 Nov. 29, 2004 Order Granting Approval to Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 to Modify the Bid Price Compliance Periods on the Nasdaq National Market and SmallCap Market and to Require Non-Canadian Foreign Issuers to Satisfy the Bid Price and Market Value of Publicly Held Shares Requirements Applicable to Domestic Issuers for Continued Listing on the SmallCap Market
34-50541 Oct. 14, 2004 Notice of Filing of Proposed Rule Change to Bid Price Compliance Periods and Market Value of Publicly Held Shares Requirements
Comments due:  November 12, 2004

SR-NASD-2004-146
34-50571 Oct. 20, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 to Permanently Adopt Fees for TotalView Product
Comments due:  November 17, 2004

SR-NASD-2004-145
34-50575 Oct. 20, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 thereto Relating to Amendments to Section 4 of Schedule A to the NASD By-Laws (Fees for Qualification Examinations)
Comments due:  November 17, 2004

SR-NASD-2004-144
34-50468 Sep. 29, 2004 Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change Relating to the Listing and Trading of Theravance, Inc. Common Stock
Comments due:  October 26, 2004

SR-NASD-2004-143
34-50537 Oct. 14, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change, and Amendment No. 1 thereto, Relating to Attributable Summary Orders in the Nasdaq Market Center
Comments due:  November 12, 2004

SR-NASD-2004-142
34-51005 Jan. 10, 2005 Order Approving Proposed Rule Change to Establish Fees for Companies with a Dual Listing on the New York Stock Exchange and Nasdaq
34-50741 Nov. 29, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Establish Fees for Companies with a Dual Listing on the New York Stock Exchange and Nasdaq
Comments due:  December 27, 2004

SR-NASD-2004-141
34-51593 Apr. 21, 2005 Order Approving Proposed Rule Changes to Prohibit Participation by a Research Analyst in a Road Show Related to an Investment Banking Services Transaction and to Require Certain Communications about an Investment Banking Services Transaction to Be Fair, Balanced and Not Misleading
File No.:  SR-NYSE-2004-24
34-51358 Mar. 10, 2005 Notice of Filing of Proposed Rule Changes to Prohibit Participation by a Research Analyst in a Road Show Related to an Investment Banking Services Transaction and to Require Certain Communications About an Investment Banking Services Transaction to be Fair, Balanced and Not Misleading
Comments due:  April 7, 2005
Release No.: SR-NYSE-2004-24
Comments received are available for this notice.

SR-NASD-2004-140
34-51004 Jan. 10, 2005 Order Approving Proposed Rule Change to Eliminate Entry and Application Fees for Exchange-Listed Issuers Transferring Listings to Nasdaq
34-50740 Nov. 29, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Eliminate Entry and Application Fees for Exchange-Listed Issuers Transferring Listings to Nasdaq
Comments due:  December 27, 2004

SR-NASD-2004-139
34-51891 Jun. 21, 2005 Order Approving Proposed Rule Change and Amendment No. 1 and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Relating to the Listing and Trading of Leveraged Index Return Notes Linked to the Dow Jones Industrial Average
34-51425 Mar. 23, 2005 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Listing and Trading of Leveraged Index Return Notes Linked to the Dow Jones Industrial Average
Comments due:  April 20, 2005

SR-NASD-2004-138
34-50501 Oct. 7, 2004 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change, Relating to the Listing and Trading of Performance Leveraged Upside Securities Based on the Value of the Dow Jones Euro Stoxx 50 Index
Comments due:  November 9, 2004

SR-NASD-2004-137
34-50409 Sep. 17, 2004 Notice of Filing and Order Accelerating Approving of Proposed Rule Change Amending OATS Rules to Require that ECNs Capture Routed Order Identifier Information
Comments due:  October 14, 2004

SR-NASD-2004-136
34-50335 Sep. 9, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Implementation Date of Notice to Members 04-50 (Treatment of Commodity Pool Trail Commissions Under Rule 2810)
Comments due:  October 7, 2004
Comments received are available for this notice.

SR-NASD-2004-135
34-54088 Jun. 30, 2006 Order Granting Approval of Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto, and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 4 to the Proposed Rule Change, to Adopt NASD Rule 2441 to Require Disclosure and Consent When Trading on a Net Basis With Customers
Comments due:  21 days after publication in the Federal Register
Comments received are available for this notice.
34-51457 Mar. 31, 2005 Notice of Filing of Proposed Rule Change Relating to Disclosure and Consent Requirements when Trading on a Net Basis with Customers
Comments due:  April 27, 2005
Comments received are available for this notice.

SR-NASD-2004-134
34-50434 Sep. 23, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Multiple Market Participant Identifiers
Comments due:  October 21, 2004

SR-NASD-2004-133
34-50848 Dec. 14, 2004 Order Granting Approval of Proposed Rule Change to Amend NASD Rule 9522 ("Initiation of Eligibility Proceeding; Member Regulation Consideration") to give Member Regulation the Authority to Approve the MC-400 Applications of Statutorily Disqualified Persons Who Will Be Engaged Solely in Clerical and/or Ministerial Activities
34-50626 Nov. 3, 2004 Notice of Filing of Proposed Rule Change Relating to Proposed Amendments to NASD Rule 9522 ("Initiation of Eligibility Proceeding; Member Regulation Consideration")
Comments due:  December 1, 2004

SR-NASD-2004-132
34-50724 Nov. 23, 2004 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Listing and Trading of Accelerated Return Notes Linked to the Russell 2000 Index
Comments due:  December 21, 2004

SR-NASD-2004-131
34-52276 Aug. 17, 2005 Order Granting Approval to Proposed Rule Change and Amendments Nos. 1 and 2 Thereto, and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 Thereto, Relating to the Listing and Trading of Leveraged Index Return Notes Linked to the Nikkei 225 Index
34-51970 Jul. 5, 2005 Notice of Filing of Proposed Rule Change and Amendments Nos. 1 and 2 Thereto Relating to the Listing and Trading of Leveraged Index Return Notes Linked to Nikkei 225 Index
Comments due:  August 2, 2005

SR-NASD-2004-130
34-56004 Jul. 2, 2007 Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change as Modified by Amendment Nos. 2 and 3 Relating to Amendments to Rule 2320(g) (Three Quote Rule) and Corresponding Recordkeeping Requirements under Rule 3110(b)
Comments due:  July 30, 2007
Comments received are available for this notice.
34-54650 Oct. 25, 2006 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Relating to Amendments to Rule 2320(g) (Three Quote Rule) and Corresponding Recordkeeping Requirements under Rule 3110(b)
Comments due:  November 21, 2006
Comments received are available for this notice.

SR-NASD-2004-129
34-50274 Aug. 26, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend, and Provide an Interpretation to, Section 3 of Schedule A to NASD By-Laws and Amend NASD’s Permanent Self-Reporting Form
Comments due:  September 23, 2004

SR-NASD-2004-128
34-50838 Dec. 10, 2004 Order Granting Approval of Proposed Rule Change to Modify the Annual Fee for Certain Issuers Listed on The Nasdaq Stock Market, Inc.
34-50577 Oct. 21, 2004 Notice of Filing of Proposed Rule Change to Modify the Annual Fee for Certain Issuers Listed on The Nasdaq Stock Market, Inc.
Comments due:  November 18, 2004
Comments received are available for this notice.

SR-NASD-2004-127
34-50318 Sep. 3, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the National Quotation Data Service Fee Pilot
Comments due:  October 1, 2004

SR-NASD-2004-126
34-50447 Sep. 24, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Waiver of California Arbitrator Disclosure Standards
Comments due:  October 21, 2004

SR-NASD-2004-125
34-52342 Aug. 26, 2005 Order Approving Proposed Rule Change and Amendment No. 1 and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 2 Regarding Procedures for Denying Listing on Nasdaq
34-51268 Feb. 28, 2005 Notice of Filing of Proposed Rule Change Regarding Procedures for Denying Listing on Nasdaq
Comments due:  March 25, 2005
Comments received are available for this notice.

SR-NASD-2004-124
34-50259 Aug. 25, 2004 Notice of Filing of Proposed Rule Change to Provide an Exception from Shareholder Approval Requirements when Officers, Directors, Employees or Consultants Participate in a Discounted Private Placement
Comments due:  September 22, 2004

SR-NASD-2004-123
34-50192 Aug. 13, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete IM-2210-4(b) and Rule Series 3400 as Obsolete
Comments due:  September 13, 2004

SR-NASD-2004-121
34-50446 Sep. 24, 2004 Order Granting Approval of Proposed Rule Change and Amendment Nos. 1 and 2 to Include Failures to Timely Submit Amendments to Form U5 in Minor Rule Violation Plan
34-50221 Aug. 19, 2004 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Include Failures to Submit Timely Amendments to Form U5 in Minor Rule Violation Plan
Comments due:  September 15, 2004
Comments received are available for this notice.

SR-NASD-2004-119
34-50406 Sep. 16, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Regarding Fees for Orders and Quotes Executed in the Nasdaq Closing Cross
Comments due:  October 14, 2004

SR-NASD-2004-118
34-50483 Oct. 1, 2004 Order Granting Approval of Proposed Rule Change Relating to the Introduction of an Extranet Access fee for Extranet Providers to Provide Direct Access Services for Nasdaq Market Data Feeds
34-50262 Aug. 25, 2004 Notice of Filing of Proposed Rule Change to Introduce an Extranet Access Fee for Extranet Providers to Provide Direct Access Services for Nasdaq Market Data Feeds
Comments due:  September 22, 2004
Comments received are available for this notice.

SR-NASD-2004-117
34-50158 Aug. 5, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Extending the Operative Date for the Short-Sale ACT Reporting Requirements for Certain Securities
Comments due:  September 2, 2004

SR-NASD-2004-116
34-50477 Sep. 30, 2004 Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change Relating to Supervisory Control and Inspection Procedures
Comments due:  October 27, 2004

SR-NASD-2004-115
34-50144 Aug. 4, 2004 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Amendments to Reduce the Fee for the Regulatory Element of the Continuing Education Program
Comments due:  September 2, 2004

SR-NASD-2004-114
34-50545 Oct. 14, 2004 Order Approving Proposed Rule Change, as Amended, Relating to Fees for Depth of Book Data in Exchange-Listed Securities in the Nasdaq Market Center
34-50304 Sep. 1, 2004 Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Fees for Depth of Book Data in Exchange-Listed Securities in the Nasdaq Market Center
Comments due:  September 30, 2004

SR-NASD-2004-113
34-50119 Jul. 29, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change filed with the Commission to modify Nasdaq Market Center pricing.
Comments due:  August 25, 2004

SR-NASD-2004-112
34-50097 Jul. 27, 2004 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Extend Its Pilot Program Relating to Price-Improvement Standards under the Manning Interpretation
Comments due:  August 24, 2004

SR-NASD-2004-110
34-50926 Dec. 23, 2004 Order Approving a Proposed Rule Change, and Amendment Nos. 1, 2 and 3 Thereto Relating to Divestiture of Its Interest in the American Stock Exchange LLC
34-50403A Sep. 29, 2004 Notice of Filing of Proposed Rule Change Relating to Divestiture of American Stock Exchange; Correction
Comments due:  October 14, 2004
34-50403 Sep. 16, 2004 Notice of Filing of Proposed Rule Change Relating to Divestiture of American Stock Exchange
Comments due:  October 14, 2004

SR-NASD-2004-109
34-50458 Sep. 28, 2004 Order Granting Approval of Proposed Rule Change to Increase the Initial Inclusion Requirements for Certain Foreign Securities Seeking to List on the Nasdaq SmallCap Market
34-50183 Aug. 11, 2004 Notice of Filing of Proposed Rule Change to Increase the Initial Inclusion Requirements for Certain Foreign Securities Seeking to List on the Nasdaq SmallCap Market
Comments due:  September 8, 2004

SR-NASD-2004-108
34-50065 Jul. 22, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Treatment of Commodity Pool Trail Commissions
Comments due:  August 20, 2004
Comments received are available for this notice.

SR-NASD-2004-107
34-50683 Nov. 17, 2004 Order Approving Proposed Rule Change Relating to Computer Generated Quoting in Exchange-Listed Securities
34-50478 Sep. 30, 2004 Notice of Filing of a Proposed Rule Change Relating to Computer Generated Quoting in Exchange-Listed Securities
Comments due:  November 2, 2004

SR-NASD-2004-106
34-50038 Jul. 19, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Program Modifying Fees and Credits for Orders and Quotes Executed in the Nasdaq Closing Cross
Comments due:  August 17, 2004

SR-NASD-2004-105
34-50573 Oct. 20, 2004 Order Granting Approval to Proposed Rule Change, and Amendment No.1 Thereto to Amend Rule 4350(n) and IM-4350-7 to Provide Time Frames for Foreign Issuers and Foreign Private Issuers to Disclose Certain Code of Conduct Waivers
34-50267 Aug. 26, 2004 Notice of Filing of Proposed Rule Change, and Amendment No.1 Thereto, to Amend Rule 4350(n) and IM-4350-7 to Provide Time Frames for Foreign Issuers and Foreign Private Issuers to Disclose Certain Code of Conduct Waivers
Comments due:  September 22, 2004

SR-NASD-2004-103
34-50084 Jul. 26, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto to Modify the Methodology for Applying Nasdaq’s Pricing Schedule to Affiliated Members
Comments due:  August 20, 2004

SR-NASD-2004-102
34-50325 Sep. 7 , 2004 Order Approving Proposed Rule Change to Establish a Fee for Company Profile Reports of OTCBB Issuers
34-50037 Jul. 19, 2004 Notice of Filing of a Proposed Rule Change to Establish a Fee for Company Profile Reports of OTCBB Issuers
Comments due:  August 17, 2004

SR-NASD-2004-101
34-50305 Sep. 1, 2004 Order Granting Approval of Proposed Rule Change to Provide a Monthly Flat Fee for the Internal Distribution of PostData as an Alternative to the Monthly Per-Subscriber Fees Presently Available Under NASD Rule 7010(s)
34-50068 Jul. 23, 2004 Notice of Filing of Proposed Rule Change to Provide a Monthly Flat Fee for the Internal Distribution of PostData as an Alternative to the Monthly Per-Subscriber Fees Presently Available Under NASD Rule 7010(s)
Comments due:  August 19, 2004

SR-NASD-2004-100
34-50099 Jul. 27, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Amend the Rule 9600 Series
Comments due:  August 24, 2004

SR-NASD-2004-099
34-50149 Aug. 5, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Permitting ITS/CAES Market Makers to Use the Automatic Quote Refresh Functionality for ITS Securities
Comments due:  September 2, 2004

SR-NASD-2004-098
34-50456 Sep. 27, 2004 Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to Proposed Amendments to Eliminate Exemptions from the Continuing Education Regulatory Element Requirements
34-50204 Aug. 16, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Proposed Amendments to Eliminate Exemptions from the Continuing Education Regulatory Element Requirements
Comments due:  September 13, 2004

SR-NASD-2004-097
34-50140 Aug. 3, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Multiple Market Participant Identifiers for Exchange Listed Securities
Comments due:  August 31, 2004

SR-NASD-2004-095
34-50157 Aug. 5, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting a Fingerprinting Program for NASD Employees and Independent Contractors in the State of New York, and, as Dictated by Business Need, in Other Jurisdictions
Comments due:  September 2, 2004

SR-NASD-2004-094
34-50317 Sep. 3, 2004 Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to Proposed Amendments to TRACE Rule 6250 and Related TRACE Rules to Disseminate Transaction Information on Certain TRACE-Eligible Securities and Facilitate Dissemination of Such Information
34-49920 Jun. 25, 2004 Notice of Filing of Proposed Rule Change Relating to Proposed Amendments to TRACE Rule 6250 and Related TRACE Rules to Disseminate Transaction Information on TRACE-Eligible Securities and Facilitate Dissemination
Comments due:  July 23, 2004
Comments received are available for this notice.

SR-NASD-2004-093
34-49927 Jun. 28, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Establishing a Revised Effective Date for Amendments to the Order Audit Trail System Rules Relating to Execution Reports
Comments due:  July 27, 2004

SR-NASD-2004-092
34-50217 Aug. 18, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment 1 Thereto Relating to Extension of Short Sale Rule and Continued Suspension of Primary Market Maker Standards Set Forth in Rule 4612
Comments due:  September 15, 2004

SR-NASD-2004-091
34-50091 Jul. 27, 2004 Order Granting Approval of Proposed Rule Change to Discontinue the Use of the Nasdaq NEWS Feature of the Nasdaq Workstation II, and to Provide a Different Standard for the Beginning and End of a Trading Halt
34-49898 Jun. 21, 2004 Notice of Filing of Proposed Rule Change to Discontinue the Use of the Nasdaq NEWS Feature of the Nasdaq Workstation II and to Provide a Different Standard for the Beginning and End of a Trading Halt
Comments due:  July 16, 2004

SR-NASD-2004-090
34-50391 Sep. 15, 2004 Order Approving Proposed Rule Change and Amendment No. 1 thereto Relating to the Nasdaq Closing Cross
34-50087 Jul. 26, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 thereto Relating to the Nasdaq Closing Cross
Comments due:  August 23, 2004

SR-NASD-2004-089
34-52210 Aug. 4, 2005 Order Approving Proposed Rule Change to Require Limit Order Protection and to Expand the Application of Manning Obligations to Exchange-Listed Securities
34-51231 Feb. 18, 2005 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Proposed Amendments to Require Limit Order Protection and to Expand the Application of Manning Obligations to Exchange-Listed Securities
Comments due:  March 18, 2005

SR-NASD-2004-087
34-49910 Jun. 24, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Technical Amendments to Section 4 of Schedule A to the NASD By-Laws and to Rule 10308(d) of the NASD Code of Arbitration Procedure
Comments due:  July 21, 2004

SR-NASD-2004-086
34-49903 Jun. 22, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Clarify the Treatment of Certain Non-Preferential, Ordinary-Course Payments
Comments due:  July 20, 2004

SR-NASD-2004-083
34-49796 Jun. 2, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Non-Standard Settlement Trades
Comments due:  June 29, 2004

SR-NASD-2004-081
34-49746 May 20, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Unit Listing Standards.
Comments due:  June 17, 2004

SR-NASD-2004-080
34-49901 Jun. 22, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto to Conform Certain Provisions of NASD Rules 4200 and 4350 to the Rules of Another Self-Regulatory Organization, and to Make Additional Revisions
Comments due:  July 20, 2004

SR-NASD-2004-079
34-50199 Aug. 13, 2004 Order Granting Approval of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Provide for the Web Publication of Summaries of Interpretations Issued under NASD Rule 4550
34-49935 Jun. 29, 2004 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Provide for the Web Publication of Summaries of Interpretations Issued Under NASD Rule 4550
Comments due:  July 27, 2004

SR-NASD-2004-078
34-50162 Aug. 6, 2004 Order Approving Proposed Rule Change to Establish Certain Qualification Requirements for Supervisors of Research Analysts
34-49857 Jun. 15, 2004 Notice of Filing of Proposed Rule Change to Establish Certain Qualification Requirements for Supervisors of Research Analysts
Comments due:  July 14, 2004

SR-NASD-2004-077
34-49905 Jun. 23, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto to Eliminate Certain Transaction Charges for ITS Securities
Comments due:  July 21, 2004

SR-NASD-2004-076
34-50074 Jul. 23, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change, and Amendments No. 1 and 2 thereto, to Rename Certain of NASDAQ’s Systems and to Make other Technical Corrections
Comments due:  August 20, 2004
( Text of proposed rules also available)

SR-NASD-2004-075
34-49872 Jun. 16, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Eliminate Certain Transaction Charges for ITS Securities
Comments due:  July 14, 2004

SR-NASD-2004-074
34-50606 Oct. 29, 2004 Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Clarify and Modify Market Maker Quote Re-Entry Obligations
34-50372 Sep. 14, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Clarify and Modify Market Maker Quote Re-Entry Obligations
Comments due:  October 12, 2004

SR-NASD-2004-073
34-49667 May 7, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Change the Minimum Term for Selected Equity-linked Debt Securities
Comments due:  June 4, 2004

SR-NASD-2004-072
34-49738 May 19, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Establish Fees for the Use of the Nasdaq Workstation II Service by NASD Members Via Digital Subscriber Lines
Comments due:  June 16, 2004

SR-NASD-2004-071
34-50405 Sep. 16, 2004 Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Improved Nasdaq Opening Process
34-49842 Jun. 9, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 thereto Regarding Improved Nasdaq Opening Process
Comments due:  July 8, 2004
Comments received are available for this notice.

SR-NASD-2004-070
34-49660 May 6, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit Shareholder Action by Written Consent
Comments due:  June 2, 2004

SR-NASD-2004-069
34-49732 May 19, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Redesignate NASD Rules 4200A and 4350A
Comments due:  June 15, 2004

SR-NASD-2004-068
34-49670 May 7, 2004 Notice of Filing and Order Granting Accelerated Approval of a proposed rule change relating to the listing and trading of Accelerated Return Notes linked to the Nikkei 225 Index.
Comments due:  June 7, 2004

SR-NASD-2004-067
34-49648 May 3, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend NASD Rule 7010 to Modify the Charges Paid by Members Receiving Nasdaq’s Service for Trading Exchange-Listed Securities
Comments due:  June 1, 2004

SR-NASD-2004-066
34-49604 Apr. 22, 2004 Notice of Filing of Proposed Rule Change Related to Direct ECN Connection to SuperMontage
Comments due:  May 21, 2004

SR-NASD-2004-065
34-50176 Aug. 10, 2004 Order Approving Proposed Rule Change Regarding the Nasdaq Closing Cross
34-49783 May 27, 2004 Notice of Filing of Proposed Rule Change Regarding the Nasdaq Closing Cross
Comments due:  June 25, 2004

SR-NASD-2004-064
34-49650 May 4, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Technical Corrections to the Supermontage Rules
Comments due:  June 1, 2004

SR-NASD-2004-063
34-49622 Apr. 27, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify NASD Rule 4619 to Correct a Typographical Error
Comments due:  May 25, 2004

SR-NASD-2004-062
34-49603 Apr. 22, 2004 Notice of Filing and Immediate Effectiveness of Proposed to Modify the Pricing for Trading Nasdaq-Listed Securities on SuperMontage
Comments due:  May 21, 2004

SR-NASD-2004-061
34-49715 May 17, 2004 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Listing and Trading of 97% Protected Notes Linked to the Global Equity Basket
Comments due:  June 14, 2004

SR-NASD-2004-060
34-49534 Apr. 7, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Nasdaq Closing Cross
Comments due:  May 4, 2004

SR-NASD-2004-059
34-49556 Apr. 12, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding an Interpretation to its Trade Through Rule for Exchange-Listed Securities
Comments due:  May 11, 2004

SR-NASD-2004-058
34-50018 Jul. 14, 2004 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Partial Customer Account Transfers
Comments due:  August 12, 2004

SR-NASD-2004-057
34-49854 Jun. 14, 2004 Order Granting Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Proposed Amendments to Reduce the Reporting Period for Transactions in TRACE-Eligible Securities
34-49607 Apr. 23, 2004 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Relating to Proposed Amendments to Reduce the Reporting Period for Transactions in TRACE-Eligible Securities
Comments due:  May 20, 2004
Comments received are available for this notice.

SR-NASD-2004-056
34-49833 Jun. 8, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Short-Sale ACT Reporting Requirements
Comments due:  July 8, 2004
Comments received are available for this notice.

SR-NASD-2004-055
34-49752 May 21, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto
Comments due:  June 17, 2004

SR-NASD-2004-054
34-49512 Mar. 31, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Permanent the Current Pilot Program for the Imposition of a Fee for Written Interpretations of Nasdaq Listing Rules
Comments due:  April 29, 2004
Comments received are available for this notice.

SR-NASD-2004-051
34-49597 Apr. 21, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendments No. 1 and No. 2 Thereto Relating to the Use of Summary Orders for NNMS Order-Delivery ECNs Using the SIZE MPID in SuperMontage
Comments due:  May 19, 2004

SR-NASD-2004-049
34-49527 Apr. 2, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Examination and Development Fees in Connection with Series 86/87 Fees for Research Analysts
Comments due:  May 5, 2004

SR-NASD-2004-048
34-49576 Apr. 16, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Create a Pilot Program Modifying SuperMontage Fees and Credits for Orders and Quotes Executed in the Nasdaq Closing Cross
Comments due:  May 14, 2004

SR-NASD-2004-046
34-49547 Apr. 9, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 thereto Regarding SuperMontage Postable Auto-Ex Orders
Comments due:  May 6, 2004

SR-NASD-2004-045
34-52226 Aug. 9, 2005 Order Approving Proposed Rule Change and Amendment No. 1 Thereto, and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 to the Proposed Rule Change, to Adopt NASD Rule 2111 to Prohibit Members from Trading Ahead of Customer Market Orders
34-51230 Feb. 18, 2005 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Adopt NASD Rule 2111 to Prohibit Members from Trading Ahead of Customer Market Orders
Comments due:  March 18, 2005
Comments received are available for this notice.

SR-NASD-2004-044
34-53596 Apr. 4, 2006 Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 thereto Relating to Short Sale Delivery Requirements
34-52752A Nov. 17, 2005 Notice of Filing of Proposed Rule Change and Amendments Nos. 1 and 2 thereto Relating to Short Sale Delivery Requirements; Correction
Comments due:  December 7, 2005
Comments received are available for this notice.
34-52752 Nov. 8, 2005 Notice of Filing of Proposed Rule Change and Amendments Nos. 1 and 2 thereto Relating to Short Sale Delivery Requirements
Comments due:  21 days after publication in the Federal Register
Comments received are available for this notice.

SR-NASD-2004-043
34-54103 Jul. 5, 2006 Order Approving a Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 4 to the Proposed Rule Change Relating to Disclosure of Fees and Expenses in Mutual Fund Performance Sales Material
Comments due:  August 2, 2006
Comments received are available for this notice.
34-50226 Aug. 20, 2004 Notice of Filing of Proposed Rule Change Relating to Disclosure of Fees and Expenses in Mutual Fund Performance Sales Material
Comments due:  September 17, 2004
Comments received are available for this notice.

SR-NASD-2004-042
34-51324 Mar. 7, 2005 Order Approving Proposed Rule Change Relating to Foreign Hearing Locations
34-51082 Jan. 26, 2005 Notice of Proposed Rule Change Relating to Foreign Hearing Locations
Comments due:  February 24, 2005

SR-NASD-2004-040
34-49452 Mar. 26, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend, for an Additional Six-Month Period, a Pilot Rule Regaing Waiver of California Arbitrator Disclosure Standards
Comments due:  April 21, 2004

SR-NASD-2004-039
34-50036 Jul. 19, 2004 Order Approving Proposed Rule Change to Reduce the Time for Chairperson Selection
34-49852 Jun. 14, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 Relating to Reducing the Time for Chairperson Selection
Comments due:  July 9, 2004

SR-NASD-2004-037
34-49471 Mar. 25, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Revising the Pilot Relating to the Issuance of Market Participant Identifiers
Comments due:  April 21, 2004

SR-NASD-2004-036
34-49663 May 6, 2004 Order Granting Approval of a Proposed Rule Change to Revise a Update the Fee Schedule for OTC Bulletin Board Historical Trading Activity Reports
34-49486 Mar. 26, 2004 Notice of Filing of a Proposed Rule Change to Modify NASD Rule 7010(p)(3) to Revise and Update the Fee Schedule for OTC Bulletin Board Historical Trading Activity Reports
Comments due:  April 22, 2004

SR-NASD-2004-034
34-49733 May 19, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 thereto to Allow Members to Report Certain Trades Through SuperMontage
Comments due:  June 16, 2004

SR-NASD-2004-033
34-51703 May 18, 2005 Order Approving a Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto Seeking to Modify the Nasdaq Market Center Execution Service to Add an Optional Routing Feature
34-51504 Apr. 7, 2005 Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto Seeking to Modify the Nasdaq Market Center Execution Service to Add an Optional Routing Feature
Comments due:  May 4, 2005

SR-NASD-2004-032
34-49427 Mar. 16, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto to Modify NASD Rule 4619 with Respect to Certain Excused Withdrawal Requests
Comments due:  April 13, 2004

SR-NASD-2004-031
34-49285 Feb. 20, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Establishing an Effective Date For NASD Rule 3370, Affirmative Determination Requirements
Comments received are available for this notice.

SR-NASD-2004-027
34-50883 Dec. 20, 2004 Order Approving Proposed Rule Change Relating to Investment Company Portfolio Transactions
34-50611 Oct. 29, 2004 Notice of Filing of Proposed Rule Change Relating to Investment Company Portfolio Transactions
Comments due:  November 26, 2004
Comments received are available for this notice.

SR-NASD-2004-026
34-54339 Aug. 21, 2006 Order Approving Proposed Rule Change as Modified by Amendment Nos. 1-5 to Amend NASD Rule 2320(a) Governing Best Execution
Comments received are available for this notice.
34-52637 Oct. 19, 2005 Notice of Filing of Amendments No. 3 and 4 to Proposed Rule Change to Amend NASD Rule 2320(a) Governing Best Execution
Comments due:  November 16, 2005
Comments received are available for this notice.
34-51229 Feb. 18, 2005 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Amend NASD Rule 2320(a) Governing Best Execution
Comments due:  March 18, 2005
Comments received are available for this notice.

SR-NASD-2004-025
34-52294 Aug. 18, 2005 Order Approving Proposed Rule Change to Amend NASD's Minor Rule Violation Plan
34-51994 Jul. 7, 2005 Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 Thereto to Amend NASD's Minor Rule Violation Plan
Comments due:  August 4, 2005
Comments received are available for this notice.

SR-NASD-2004-023
34-49628 Apr. 29, 2004 Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Amend the Order Audit Trail System Rules Relating to Execution Reports
34-49439 Mar. 17, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Amend Order Audit Trail System Rules Relating to Execution Reports
Comments due:  April 14, 2004

SR-NASD-2004-022
34-50749 Nov. 29, 2004 Notice of Filing of Proposed Rule Change Relating to the Corporate Financing Rule and Shelf Offerings of Securities
Comments due:  January 21, 2005
Comments received are available for this notice.

SR-NASD-2004-021
34-50059 Jul. 22, 2004 Order Granting Approval to Proposed Rule Change and Amendment No. 1 Thereto Relating to Reporting of Cancelled Trades
34-49844 Jun. 10, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Reporting of Cancelled Trades
Comments due:  July 8, 2004

SR-NASD-2004-020
34-49464 Mar. 24, 2004 Order Granting Accelerated Approval of Proposed Rule Changes by the New York Stock Exchange, Inc. and the National Association of Securities Dealers, Inc. Relating to Certain Prerequisites to and Exemptions from Taking the Research Analyst Qualification Examination ("Series 86/87")
34-49314 Feb. 24, 2004 Notice of Filing of Proposed Rule Changes by the New York Stock Exchange, Inc. and the National Association of Securities Dealers, Inc. Relating to Certain Prerequisites to and Exemptions from Taking the Research Analyst Qualification Examination ("Series 86/87")
File No.:  SR-NYSE-2004-03
Comments received are available for this notice.

SR-NASD-2004-018
34-49535 Apr. 7, 2004 Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Amend the Procedures for the Review of Nasdaq Listing Determinations
Comments due:  May 5, 2004

SR-NASD-2004-016
34-49876 Jun. 16, 2004 Order Granting Approval of Proposed Rule Change Relating to Implementation of a Web-based Arbitration Claim Notification and Filing Procedure
34-49673 May 10, 2004 Notice of Filing of Proposed Rule Change Relating to Implementation of a Web-based Arbitration Claim Notification and Filing Procedure
Comments due:  June 4, 2004

SR-NASD-2004-013
34-52705 Oct. 31, 2005 Order Granting Approval to Proposed Rule Change and Amendments Nos. 1 and 2 Thereto, and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3, to Amend NASD Rules for Mediation Proceedings
34-51855 Jun. 15, 2005 Notice of Filing of Proposed Rule Change and Amendments Nos. 1 and 2 Thereto to Amend NASD Arbitration Rules for Mediation Proceedings
Comments due:  July 14, 2005

SR-NASD-2004-011
34-55158 Jan. 24, 2007 Order Approving Proposed Rule Change and Amendments 1, 2, 3, and 4 to Amend NASD Arbitration Rules for Customer Disputes and Notice of Filing and Order Granting Accelerated Approval of Amendments 5, 6, and 7 thereto; Order Approving Proposed Rule Change and Amendments 1, 2, 3, and 4 to Amend NASD Arbitration Rules for Industry Disputes and Notice of Filing and Order Granting Accelerated Approval of Amendments 5, 6, and 7 thereto
Comments due:  February 21, 2007
Comments received are available for this notice.
34-51857 Jun. 15, 2005 Notice of Filing of Proposed Rule Change and Amendments Nos. 1, 2, 3, and 4 Thereto to Amend NASD Arbitration Rules for Industry Disputes
Comments due:  July 14, 2005
Comments received are available for this notice.

SR-NASD-2004-009
34-52141 Jul. 27, 2005 Order Granting Approval of Proposed Rule Change and Amendment Nos. 1, 2, 3, 4, and 5 Thereto to Modify Nasdaq’s Clearly Erroneous Rule
34-51722 May 20, 2005 Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, 3, and 4 Thereto to Modify Nasdaq’s Clearly Erroneous Rule

SR-NASD-2004-06
34-49106 Jan. 20, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Entry of Locking or Crossing Bids or Offers by ECNs Participating in Nasdaq's SuperMontage System
Comments received are available for this notice.

SR-NASD-2004-05
34-49081 Jan. 14, 2004 Notice of Filing of Proposed Rule Change to Amend NASD Rule 2370 Relating to Certain Lending Arrangements Between Registered Persons and Customers
Comments received are available for this notice.

SR-NASD-2004-002
34-50218 Aug. 18, 2004 Order Approving Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Thereto to Require an NASD Market Participant to Provide Written Notice Before Denying any NASD Member Direct Electronic Access to its Quote in the ADF
Comments due:  September 14, 2004

SR-NASD-2004-01
34-49875 Jun. 16, 2004 Order Granting Approval of Proposed Rule Change Relating to Arbitrator Training Fees
34-49674 May 10, 2004 Notice of Filing of Proposed Rule Change Relating to Arbitrator Training Fee
Comments due:  June 4, 2004

 

http://www.sec.gov/rules/sro/nasd/nasdarchive/nasdarchive2004.shtml


Modified: 06/23/2014