SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


NASD Rulemaking Archive: 2005

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 2005

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-NASD-2005-120
34-53031 Dec. 28, 2005 Order Approving a Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 1 Thereto Relating to the Dissemination of TRACE Trade Information
See also:  Notice: Rel. No. 34-52700
Comments received are available for this notice.

SR-NASD-2005-066
34-53030 Dec. 28, 2005 Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to NASD Rule 3011 and the Adoption of New Related Interpretive Material
See also:  Notice: Rel. No. 34-51935
Comments received are available for this notice.

SR-NASD-2005-117
34-53027 Dec. 27, 2005 Order Approving Proposed Rule Change and Amendment No. 1 Thereto Seeking Permanent Approval of Rules Concerning Bond Mutual Fund Volatility Ratings Prior to Expiration of Pilot
See also:  Notice: Rel. No. 34-52709
Comments received are available for this notice.

SR-NASD-2005-152
34-53026 Dec. 27, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Manning Price-Improvement Standards for Decimals
Comments due:  January 25, 2006

SR-NASD-2005-095
34-53024 Dec. 27, 2005 Notice of Filing of Proposed Rule Change and Amendment No. 2 Thereto Relating to Sub-Penny Restrictions for Non-Nasdaq Over-the-Counter Equity Securities
Comments due:  January 24, 2006
See also:  Notice: Rel. No. 34-52280
Comments received are available for this notice.
* Click to submit comments on SR-NASD-2005-095

SR-NASD-2005-145
34-53022 Dec. 23, 2005 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto Relating to a Certificate of Designation for Preferred Stock of the Nasdaq Stock Market, Inc.
Comments due:  January 20, 2006

SR-NASD-2005-150
34-53017 Dec. 22, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Nasdaq’s Minimum Pricing Increment Rules
Comments due:  January 19, 2006

SR-NASD-2005-148
34-53006 Dec. 22, 2005 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Fees For Non-NASD Members Using Nasdaq’s INET Facility
Comments due:  January 19, 2006

SR-NASD-2005-147
34-53005 Dec. 22, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for NASD Members Using Nasdaq’s INET Facility
Comments due:  January 19, 2006

SR-NASD-2005-139
34-52998 Dec. 22, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASD Rule 2111 to Eliminate References to NASD Rule 6440(f)(2), Which Will Be Repealed
Comments due:  January 19, 2006

SR-NASD-2005-143
34-52997 Dec. 22, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Allow Nasdaq Capital Market Issuers That Transfer Their Listing to the Nasdaq National Market to Apply the Amount of the Capital Market Entry Fee Toward the Entry Fee Payable for Listing on the National Market, and to Make Other Clarifying Changes
Comments due:  January 19, 2006

SR-NASD-2005-073
34-52985 Dec. 20, 2005 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Rule 4350(e) to Amend the Annual Shareholder Meeting Requirement
Comments due:  January 18, 2006
See also:  Order: Rel. No. 34-53578

SR-NASD-2005-133
34-52981 Dec. 19, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Increase in Fees for Certain Qualification Examinations
Comments due:  January 17, 2006

SR-NASD-2005-134
34-52980 Dec. 19, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Status of Registered Persons and Sole Proprietors Serving in the Armed Forces of the United States
Comments due:  January 17, 2006

SR-NASD-2005-135
34-52979 Dec. 19, 2005 Notice of Filing of Proposed Rule Change Relating to the Status of Former Registered Persons Serving in the Armed Forces of the United States
Comments due:  January 17, 2006
See also:  Order: Rel. No. 34-53182

SR-NASD-2005-141
34-52978 Dec. 19, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Modify the Execution Fees for Quotes and Orders Executed in the Nasdaq Opening Cross
Comments due:  January 17, 2006

SR-NASD-2005-132
34-52947 Dec. 13, 2005 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to a Session Fee Increase for the Regulatory Element of the Continuing Education Requirements of NASD Rule 1120
Comments due:  January 10, 2006

SR-NASD-2005-137
34-52939 Dec. 9, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Pricing for NASD Members Using the Nasdaq Market Center and Nasdaq’s Brut Facility
Comments due:  January 9, 2006

SR-NASD-2005-138
34-52938 Dec. 9, 2005 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Modify the Pricing for Non-Members Using Nasdaq’s Brut Facility
Comments due:  January 9, 2006

SR-NASD-2005-128
34-52902 Dec. 7, 2005 Order Approving a Proposed Rule Change to Establish Rules Governing the Operation of the INET System
See also:  Notice: Rel. No. 34-52723

SR-NASD-2005-136
34-52899 Dec. 6, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Allow Nasdaq to Issue Public Reprimand Letters
Comments due:  January 5, 2006

SR-NASD-2005-099
34-52897 Dec. 6, 2005 Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to the Restated Certificate of Incorporation of The Nasdaq Stock Market, Inc.
See also:  Notice: Rel. No. 34-52574

SR-NASD-2005-116
34-52896 Dec. 6, 2005 Order Approving Proposed Rule Change to Modify Nasdaq’s Auditor Peer Review Requirement
See also:  Notice: Rel. No. 34-52645

SR-NASD-2005-127
34-52825 Nov. 22, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASD Rule 7010 to Change the Fee Structure for the “Browse/Query” function in the Trade Reporting Service of the Nasdaq Market Center
Comments due:  December 21, 2005

SR-NASD-2005-084
34-52799 Nov. 18, 2005 Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Amendments to the Rule Regarding Supervisory Control Systems, Rule 3012, to Require Notification of Reliance on “Limited Size and Resources” Exception
See also:  Notice: Rel. No. 34-52195
Comments received are available for this notice.

SR-NASD-2004-044
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
See also:   Order: Rel. No. 34-53596; Notice: Rel. No. 34-52752
Comments received are available for this notice.

SR-NASD-2005-011
34-52786 Nov. 16, 2005 Order Approving Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto to Limit the Eligibility for Quotation on the OTCBB of the Securities of an Issuer That Is Repeatedly Delinquent in Its Periodic Reporting Obligations
See also:  Notice: Rel. No. 34-52291
Comments received are available for this notice.

SR-NASD-2005-126
34-52758 Nov. 9, 2005 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Modify the Pricing for Non-Members Using the Nasdaq’s Brut Facility
Comments due:  December 8, 2005

SR-NASD-2005-125
34-52757 Nov. 9, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Pricing for NASD Members Using the Nasdaq Market Center and Nasdaq’s Brut Facility
Comments due:  December 8, 2005

SR-NASD-2005-119
34-52756 Nov. 9, 2005 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Listing and Trading of Strategic Total Return SecuritiesSM Linked to the CBOE Nasdaq-100 BuyWrite Index
Comments due:  December 9, 2005

SR-NASD-2004-044
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:  December 7, 2005
See also:  Order: Rel. No. 34-53596; Correction: Rel. No. 34-52752A
Comments received are available for this notice.

SR-NASD-2005-106
34-52746 Nov. 7, 2005 Order Approving Proposed Rule Change Regarding Fees for Closed-End Funds Listing on The Nasdaq Capital Market
See also:  Notice: Rel. No. 34-52515

SR-NASD-2005-121
34-52727 Nov. 3, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Rule 3012, Rule 3013, and IM-3013
Comments due:  November 30, 2005

SR-NASD-2005-118
34-52725 Nov. 3, 2005 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 9% Targeted Income Strategic Total Return SecuritiesSM Linked to the CBOE Nasdaq-100 BuyWrite Index
Comments due:  December 1, 2005

SR-NASD-2005-128
34-52723 Nov. 2, 2005 Notice of Filing of Proposed Rule Change to Establish Rules Governing the Operation of the INET System
Comments due:  November 28, 2005
See also:  Order: Rel. No. 34-52902

SR-NASD-2005-124
34-52722 Nov. 2, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Repeal NASD Rule 6440(f)
Comments due:  November 30, 2005

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
See also:  Notice: Rel. No. 34-52430

SR-NASD-2005-117
34-52709 Nov. 1, 2005 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Seeking Permanent Approval of Rules Concerning Bond Mutual Fund Volatility Ratings Prior to Expiration of Pilot
Comments due:  November 28, 2005
See also:  Order: Rel. No. 34-53027
Comments received are available for this notice.

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
See also:  Notice: Rel. No. 34-51609

SR-NASD-2005-120
34-52700 Oct. 28, 2005 Notice of Filing of Proposed Rule Change Relating to Dissemination of Information on TRACE-eligible Securities Transactions
Comments due:  November 28, 2005
See also:  Order: Rel. No. 34-53031
Comments received are available for this notice.

SR-NASD-2005-064
34-52692 Oct. 28, 2005 Order Granting Approval of Proposed Rule Change as Amended by Amendment No. 1 Relating to the Publication of Decisions Issued by the National Adjudicatory Council Pursuant to NASD Rule 1015
See also:  Notice: Rel. No. 34-51786
Comments received are available for this notice.

SR-NASD-2005-112
34-52679 Oct. 26, 2005 Notice of Filing of Proposed Rule Change Relating to Amendments to Rule 3360 to Expand Short Interest Reporting to OTC Equity Securities
Comments due:  November 25, 2005
See also:  Order: Rel. No. 34-53224
Comments received are available for this notice.

SR-NASD-2005-046
34-52658 Oct. 24, 2005 Order Approviing Proposed Rule Change and Amendment Nos. 1 and 2 thereto Amending the Arbitration Fees Applicable to Certain Statutory Employment Discrimination Claims
See also:  Notice: Rel. No. 34-51921
Comments received are available for this notice.

SR-NASD-2005-116
34-52645 Oct. 20, 2005 Notice of Filing of Proposed Rule Change to Modify Nasdaq’s Auditor Peer Review Requirement
Comments due:  November 16, 2005
See also:  Order: Rel. No. 34-52896

SR-NASD-2004-026
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
See also:   Order: Rel. No. 34-54339; Notice: Rel. No. 34-51229
Comments received are available for this notice.

SR-NASD-2005-082
34-52603 Oct. 13, 2005 Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Clarify the Listing Standards Applicable to Companies in Bankruptcy Proceedings
See also:  Notice: Rel. No. 34-52385

SR-NASD-2005-101
34-52581 Oct. 11, 2005 Notice of Filing of Proposed Rules Change Relating to Expansion of OATS Reporting Requirements to OTC Equity Securities
Comments due:  November 8, 2005
See also:  Order: Rel. No. 34-54585
Comments received are available for this notice.

SR-NASD-2005-099
34-52574 Oct. 7, 2005 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to the Restated Certificate of Incorporation of The Nasdaq Stock Market, Inc.
Comments due:  November 14, 2005
See also:  Order: Rel. No. 34-52897

SR-NASD-2005-115
34-52549 Oct. 3, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASD Rule 11890
Comments due:  October 28, 2005
Third Quarter

SR-NASD-2005-111
34-52548 Sep. 30, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 9/10 Examination Program
Comments due:  November 1, 2005

SR-NASD-2005-110
34-52547 Sep. 30, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 6 Examination Program
Comments due:  November 1, 2005

SR-NASD-2005-109
34-52546 Sep. 30, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 4 Examination Program
Comments due:  November 1, 2005

SR-NASD-2005-030
34-52544 Sep. 30, 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 Relating to the Proposed Uniform Branch Office Registration Form ("Form BR") and Amendments to the Uniform Application for Securities Industry Registration or Transfer ("Form U4") and the Uniform Termination Notice for Securities Industry Registration ("Form U5")
See also:  Notice: Rel. No. 34-51742
Comments received are available for this notice.

SR-NASD-2005-057
34-52526 Sep. 29, 2005 Order Approving Proposed Rule Change Relating to Summary Orders in the Nasdaq Market Center
See also:  Notice: Rel. No. 34-52303

SR-NASD-00-23
34-52521 Sep. 28, 2005 Order Approving Amendment No. 2 to Proposed Rule Change by Relating to Amendments to Order Audit Trail System Rules and Notice of and Order Granting Accelerated Approval to Amendment No. 3
See also:  Notice: Rel. No. 34-51890
Comments received are available for this notice.

SR-NASD-2005-059
34-52517 Sep. 27, 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 Amend NASD Rule 7090 to Modify the Annual Listing and Administrative Fees
See also:  Notice: Rel. No. 34-51836
Comments received are available for this notice.

SR-NASD-2005-106
34-52515 Sep. 27, 2005 Notice of Filing of Proposed Rule Change Regarding Fees for Closed-End Funds Listing on The Nasdaq SmallCap Market
Comments due:  October 24, 2005
See also:  Order: Rel. No. 34-52746

SR-NASD-2005-113
34-52511 Sep. 27, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Proactive Limit Orders
Comments due:  October 24, 2005

SR-NASD-2005-089
34-52508 Sep. 26, 2005 Order Granting Approval to Proposed Rule Change and Amendment No. 1 Thereto, and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 2, 3, and 4 Thereto, Relating to NASD’s Direct Authority for the Activities Related to or in Support of Trading in Over-the-Counter Equity Securities
See also:  Notice: Rel. No. 34-52119
Comments received are available for this notice.

SR-NASD-2005-108
34-52489 Sep. 21, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rename The Nasdaq SmallCap Market
Comments due:  October 20, 2005

SR-NASD-2005-107
34-52449 Sep. 15, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Regarding Enhancements to the Nasdaq Market Center Pegged Order Functionality
Comments due:  October 13, 2005

SR-NASD-2005-103
34-52431 Sep. 14, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Technical Changes to NASD Rule 3110 and IM-3110
Comments due:  October 12, 2005

SR-NASD-2004-162
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
See also:  Order: Rel. No. 34-52712

SR-NASD-2005-093
34-52426 Sep. 14, 2005 Order of Summary Abrogation Relating to the Re-adoption of NASD Rule 3370
See also:  Notice: Rel. No. 34-52131
Comments received are available for this notice.

SR-NASD-2003-104
34-52403 Sep. 9, 2005 Order Approving Proposed Rule Change and Amendment Nos. 1, 2, 3, 4, 5 and 6 thereto Relating to Proposed Uniform Definition of "Branch Office" under NASD Rule 3010(g)(2)
See also:  Notice: Rel. No. 34-48897

SR-NASD-2005-082
34-52385 Sep. 7, 2005 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Clarify the Listing Standards Applicable to Companies in Bankruptcy Proceedings
Comments due:  October 4, 2005
See also:  Order: Rel. No. 34-52603

SR-NASD-2005-102
34-52376A Sep. 7, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Allow Members to Report Certain Trades in Exchange-Listed Securities Through the Execution Services of the Nasdaq Market Center [Correction]
Comments due:  September 30, 2005
See also:  Notice: Rel. No. 34-52376

SR-NASD-2005-051
34-52377 Sep. 2, 2005 Order Approving Proposed Rule Change to Create an Enterprise License Fee for the TotalView Entitlement
See also:  Notice: Rel. No. 34-51869

SR-NASD-2005-102
34-52376 Sep. 1, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Allow Members to Report Certain Trades in Exchange-Listed Securities Through the Execution Services of the Nasdaq Market Center
Comments due:  September 30, 2005
See also:  Notice: Rel. No. 34-52376A

SR-NASD-2005-104
34-52372 Aug. 31, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend on a Pilot Basis Rules Concerning Bond Mutual Fund Volatility Ratings
Comments due:  September 29, 2005

SR-NASD-2005-58
34-52352 Aug. 26, 2005 Order Approving Proposed Rule Change and Amendment No. 1 Relating to the Reporting of Data to Clearing Firms by Correspondent Firms
See also:  Notice: Rel. No. 34-52059
Comments received are available for this notice.

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
See also:  Notice: Rel. No. 34-51268
Comments received are available for this notice.

SR-NASD-2005-094
34-52332 Aug. 24, 2005 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to the Classification of Arbitrators Pursuant to Rule 10308 of the NASD Code of Arbitration
Comments due:  September 20, 2005
See also:  Order: Rel. No. 34-54607
Comments received are available for this notice.

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
See also:  Order: Rel. No. 34-52209; Notice: Rel. No. 34-51735 and comments

SR-NASD-2005-057
34-52303 Aug. 18, 2005 Notice of Filing of Proposed Rule Change Relating to Summary Orders in the Nasdaq Market Center
Comments due:  September 15, 2005
See also:  Order: Rel. No. 34-52526

SR-NASD-2004-025
34-52294 Aug. 18, 2005 Order Approving Proposed Rule Change to Amend NASD's Minor Rule Violation Plan
See also:  Notice: Rel. No. 34-51994

SR-NASD-2005-011
34-52291 Aug. 18, 2005 Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto to Limit the Eligibility for Quotation on the OTCBB of the Securities of an Issuer That Is Repeatedly Delinquent In Its Periodic Reporting Obligations
Comments due:  September 14, 2005
See also:  Order: Rel. No. 34-52786
Comments received are available for this notice.

SR-NASD-2005-095
34-52280 Aug. 17, 2005 Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Sub-Penny Restrictions for Non-Nasdaq Over-the-Counter Equity Securities
Comments due:  September 15, 2005
See also:   Notice: Rel. No. 34-53024
Comments received are available for this notice.
* Click to submit comments on SR-NASD-2005-095

SR-NASD-2005-096
34-52277 Aug. 17, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Nasdaq Listing Fees for Closed-End Funds
Comments due:  September 13, 2005

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
See also:  Notice: Rel. No. 34-51970

SR-NASD-2005-097
34-52271 Aug. 16, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Program that Increases Position and Exercise Limits for Equity Options
Comments due:  September 13, 2005

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
See also:  Notice: Rel. No. 34-51230
Comments received are available for this notice.

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
See also:  Notice: Rel. No. 34-51231

SR-NASD-2004-165
34-52209 Aug. 4, 2005 Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to NASD Rule 2790
See also:  Order: Rel. No. 34-52209A (Correction); Notice: Rel. No. 34-51735 and comments

SR-NASD-2005-084
34-52195 Aug. 3, 2005 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Amendments to the Rule Regarding Supervisory Control Systems, Rule 3012, to Require Notification of Reliance on “Limited Size and Resources” Exception
Comments due:  August 30, 2005
See also:  Order: Rel. No. 34-52799
Comments received are available for this notice.

SR-NASD-2005-006
34-52192 Aug. 2, 2005 Order Approving Proposed Rule Change and Amendments Nos. 1 and 2 thereto to Require Semi-Annual Financial Reporting by Foreign Private Issuers
See also:  Notice: Rel. No. 34-51905

SR-NASD-2004-183
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
See also:  Notice/Orders: Rel. Nos. 34-56375A; 34-56375; Notices: Rel. Nos. 34-54023; Correction Notice: Rel. No. 34-52046A
Comments received are available for this notice.

SR-NASD-2005-063
34-52183 Aug. 1, 2005 Order Approving Proposed Rule Change to Amend NASD Rule 7010(k) Relating to TRACE Transaction Data Fees
See also:  Notice: Rel. No. 34-51874

SR-NASD-2005-086
34-52176 Jul. 29, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Article VIII of the By-Laws of NASD Regulation, Inc. Relating to District Committees and District Nominating Committees
Comments due:  August 31, 2005
Comments received are available for this notice.

SR-NASD-2005-090
34-52170 Jul. 29, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 thereto to Modify Brut’s Directed Cross Order Routing Process
Comments due:  August 25, 2005
Comments received are available for this notice.

SR-NASD-2005-091
34-52156 Jul. 28, 2005 Notice of Filing of Proposed Rule Change Regarding the Nasdaq Opening Process for Initial Public Offerings
Comments due:  August 25, 2005
* Click to submit comments on SR-NASD-2005-091

SR-NASD-2005-056
34-52148 Jul. 28, 2005 Order Approving Proposed Rule Change and Amendment No. 1 thereto Eliminating the Directed Order Process in the Nasdaq Market Center
See also:  Notice: Rel. No. 34-51668

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
See also:  Notice: Rel. No. 34-51722

SR-NASD-2005-068
34-52133 Jul. 27, 2005 Order Approving Proposed Rule Change Regarding a New Order Type for the Pre-Market Trading Session
See also:  Notice: Rel. No. 34-51859

SR-NASD-2005-093
34-52131 Jul. 27, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to NASD Rule 3370
Comments due:  August 24, 2005
See also:  Order: Rel. No. 34-52426
Comments received are available for this notice.

SR-NASD-2005-092
34-52122 Jul. 25, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Operation of NASD's Alternative Display Facility as a Temporary Pilot
Comments due:  August 22, 2005

SR-NASD-2005-088
34-52121 Jul. 25, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Non-NASD Member Access to Nasdaq's Brut Facility
Comments due:  August 22, 2005

SR-NASD-2005-089
34-52119 Jul. 25, 2005 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to NASD’s Direct Authority for the Activities Related to or in Support of Trading in Over-the-Counter Equity Securities
Comments due:  August 19, 2005
See also:  Order: Rel. No. 34-52508
Comments received are available for this notice.

SR-NASD-2005-060
34-52112 Jul. 22, 2005 Order Approving Proposed Rule Change to Create the ModelView Entitlement, an Historical Data Product Designed to Provide the Aggregate Amount of Both Displayed and Reserve Size Liquidity in the Nasdaq Market Center at Each Price Level
See also:  Notice: Rel. No. 34-51851

SR-NASD-2005-072
34-52091 Jul. 20, 2005 Notice of Filing and Order Granting Accelerated Approval to the Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Modifying Pricing for Non-Members Using Nasdaq’s Brut Facility
Comments due:  August 17, 2005

SR-NASD-2005-071
34-52089 Jul. 20, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Modify Pricing for NASD Members Using the Nasdaq Market Center and Nasdaq’s Brut Facility
Comments due:  August 17, 2005

SR-NASD-2005-58
34-52059 Jul. 19, 2005 Notice of Filing of Proposed Rule Change and Amendment No. 1 Relating to the Reporting of Data to Clearing Firms by Correspondent Firms
Comments due:  August 16, 2005
See also:  Order: Rel. No. 34-52352
Comments received are available for this notice.

SR-NASD-2004-183
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
See also:  Notice/Orders: Rel. Nos. 34-56375A; 34-56375; Notices: Rel. Nos. 34-54023; 34-52191;
Comments received are available for this notice.
* Click to submit comments on SR-NASD-2004-183

SR-NASD-2005-087
34-52049 Jul. 15, 2005 Notice of Filing of Proposed Rule Change to Reflect Nasdaq’s Separation from NASD Upon Nasdaq’s Anticipated Approval as a National Securities Exchange
Comments due:  August 12, 2005
Additional Materials:
  • Exhibit 3: Limited Liability Company Agreement of [the Trade Reporting Facility LLC]
  • Exhibit 5: Plan of Allocation and Delegation of Functions by NASD to Subsidiaries

    See also:  Order: Rel. No. 34-54084
    Comments received are available for this notice.

    SR-NASD-2005-023
    34-52045 Jul. 15, 2005 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Representation in Arbitration and Mediation
    Comments due:  August 11, 2005
    Comments received are available for this notice.
    * Click to submit comments on SR-NASD-2005-023

    SR-NASD-2005-032
    34-52009 Jul. 11, 2005 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto, to Provide Written Explanations in Arbitration Awards Upon the Request of Customers, or of Associated Persons in Industry Controversies
    Comments due:  August 5, 2005
    Comments received are available for this notice.
    * Click to submit comments on SR-NASD-2005-032

    SR-NASD-2004-025
    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
    See also:  Order: Rel. No. 34-52294
    Comments received are available for this notice.

    SR-NASD-2005-079
    34-51981 Jul. 6, 2005 Notice of Filing of Proposed Rule Change to Provide for a 10-Day Notice Requirement Before a Party Issues a Subpoena to a Non-Party for Pre-Hearing Discovery
    Comments due:  August 3, 2005
    See also:  Order: Rel. No. 34-55038 and Notice: Rel. No. 34-54134
    Comments received are available for this notice.

    SR-NASD-2004-131
    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
    See also:  Order: Rel. No. 34-52276
    Second Quarter

    SR-NASD-2005-081
    34-51956 Jun. 30, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand Maximum Single Order Share Size Limits in Nasdaq’s Brut Facility
    Comments due:  August 1, 2005

    SR-NASD-2005-085
    34-51953 Jun. 30, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Relating to Manning Price-Improvement Standards for Decimals
    Comments due:  August 1, 2005

    SR-NASD-2005-066
    34-51935 Jun. 29, 2005 Notice of Filing of Proposed Rule Change Relating to Amendments to NASD Rule 3011 and the Adoption of New Related Interpretive Material
    Comments due:  July 27, 2005
    See also:  Order: Rel. No. 34-53030
    Comments received are available for this notice.

    SR-NASD-2005-075
    34-51933 Jun. 28, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Fees for Non-Members Using the New Testing Facility
    Comments due:  July 27, 2005

    SR-NASD-2005-076
    34-51932 Jun. 28, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Fees for NASD Members Using the New Testing Facility
    Comments due:  July 27, 2005

    SR-NASD-2005-052
    34-51931 Jun. 28, 2005 Order Approving Proposed Rule Change and Amendments No. 1 and No. 2 Thereto Relating to Honorarium for Arbitrators Deciding Discovery-related Motions
    See also:  Notice: Rel. No. 34-51693

    SR-NASD-2005-083
    34-51929 Jun. 28, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Definition of “Non-Professional” and Use of TRACE Transaction Data
    Comments due:  July 27, 2005

    SR-NASD-2005-046
    34-51921 Jun. 24, 2005 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 thereto Amending the Arbitration Fees Applicable to Certain Statutory Employment Discrimination Claims
    Comments due:  July 21, 2005
    See also:  Order: Rel. No. 34-52658
    Comments received are available for this notice.

    SR-NASD-2003-168
    34-51915 Jun. 23, 2005 Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, and 3 thereto Relating to the Release of Information Through the Public Disclosure Program
    Comments due:  July 21, 2005
    See also:  Notice/Order: Rel. No. 34-55127; Notice: Rel. No. 34-54053
    Comments received are available for this notice.

    SR-NASD-2005-006
    34-51905 Jun. 22, 2005 Notice of Filing of Proposed Rule Change and Amendments Nos. 1 and 2 Thereto to Require Semi-Annual Financial Reporting by Foreign Private Issuers
    See also:  Order: Rel. No. 34-52192

    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

    SR-NASD-00-23
    34-51890 Jun. 21, 2005 Notice of Filing of Amendment No. 2 to Proposed Rule Change Relating to Amendments to Order Audit Trail System Rules
    Comments due:  July 18, 2005
    See also:  Order: Rel. No. 34-52521
    Comments received are available for this notice.

    SR-NASD-2005-063
    34-51874 Jun. 17, 2005 Notice of Filing of Proposed Rule Change to Amend NASD Rule 7010(k) Relating to TRACE Transaction Data
    See also:  Order: Rel. No. 34-52183
    Comments received are available for this notice.

    SR-NASD-2005-051
    34-51869 Jun. 17, 2005 Notice of Filing of Proposed Rule Change and Amendment No. 1 thereto to Create an Enterprise License Fee for the TotalView Entitlement
    Comments due:  July 19, 2005
    See also:  Order: Rel. No. 34-52377
    Comments received are available for this notice.

    SR-NASD-2005-039
    34-51862 Jun. 16, 2005 Order Approving Proposed Rule Change to Incorporate the Brut System Book Feed Into the TotalView Entitlement
    See also:  Notice: Rel. No. 34-51683

    SR-NASD-2005-061
    34-51860 Jun. 16, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend for an Additional Two-Year Period NASD’s Authority under the Cease and Desist Pilot Program
    Comments due:  July 14, 2005

    SR-NASD-2005-068
    34-51859 Jun. 16, 2005 Notice of Filing of Proposed Rule Change Regarding a New Order Type for the Pre-market Trading Session
    See also:  Order: Rel. No. 34-52133

    SR-NASD-2004-011
    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
    See also:  Order: Rel. No. 34-55158
    Comments received are available for this notice.

    SR-NASD-2003-158
    34-51856 Jun. 15, 2005 Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, 3, and 4 Thereto to Amend NASD Arbitration Rules for Customer Disputes
    Comments due:  July 14, 2005
    See also:  Order: Rel. No. 34-55158
    Comments received are available for this notice.

    SR-NASD-2004-013
    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
    See also:  Order: Rel. No. 34-52705

    SR-NASD-2005-065
    34-51854 Jun. 15, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Nasdaq Market Center Rules for Trade Reporting of Exchange-Listed Securities
    Comments due:  July 13, 2005

    SR-NASD-2005-060
    34-51851 Jun. 14, 2005 Notice of Filing of Proposed Rule Change to Create the ModelView Entitlement
    See also:  Order: Rel. No. 34-52112

    SR-NASD-2005-062
    34-51837 Jun. 13, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Modify the Text of NASD Trade Reporting Rules to Reflect the Implementation of SR-NASD-2003-159
    Comments due:  July 12, 2005

    SR-NASD-2005-059
    34-51836 Jun. 13, 2005 Notice of Filing of Proposed Rule Change and Amendment No. 1 thereto to Amend NASD Rule 7090 to Modify the Annual Listing and Administrative Fees
    Comments due:  July 12, 2005
    See also:  Order: Rel. No. 34-52517
    Comments received are available for this notice.

    SR-NASD-2005-070
    34-51825 Jun. 13, 2005 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to Rescinding the Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Relating to the Waiver of the California Ethics Standards for Neutral Arbitrators in Contractual Arbitration
    Comments due:  July 11, 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
    See also:  Notice: Rel. No. 34-51598

    SR-NASD-2005-069
    34-51810 Jun. 9, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Multiple Market Participant Identifiers
    Comments due:  July 6, 2005

    SR-NASD-2005-064
    34-51786 Jun. 6, 2005 Notice of Filing of Proposed Rule Change Relating to the Publication of any Decision Issued by the National Adjudicatory Council Pursuant to Rule 1015
    Comments due:  July 5, 2005
    See also:Order: Rel. No. 34-52692
    Comments received are available for this notice.

    SR-NASD-2005-037
    34-51757 May 27, 2005 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto to Modify Certain Fees for Connecting to the Nasdaq Market Center and Nasdaq’s Brut Facility for Non-Members
    Comments due:  June 28, 2005

    SR-NASD-2005-036
    34-51756 May 27, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Modify Certain Fees for Connecting to the Nasdaq Market Center and Nasdaq’s Brut Facility
    Comments due:  June 28, 2005

    SR-NASD-2005-024
    34-51748 May 26, 2005 Order Approving Proposed Rule Change and Amendment No. 1 Relating to Dissemination of the Underlying Index Value for Portfolio Depository Receipts and Index Fund Shares
    See also:  Notice: Rel. No. 34-51559

    SR-NASD-2005-030
    34-51742 May 25, 2005 Notice of Filing of Proposed Rule Change and Amendment No. 1 thereto Relating to Proposed Uniform Branch Office Registration Form ("Form BR") and Amendments to the Uniform Application for Securities Industry Registration or Transfer ("Form U4") and the Uniform Termination Notice for Securities Industry Registration ("Form U5")
    Comments due:  June 23, 2005
    See also:  Order: Rel. No. 34-52544
    Comments received are available for this notice.

    SR-NASD-2005-054
    34-51741 May 25, 2005 Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to Certain Amendments to the Restated Certificate of Incorporation and the By-Laws of The Nasdaq Stock Market, Inc.
    See also:  Notice: Rel. No. 34-51626

    SR-NASD-2004-165
    34-51735 May 24, 2005 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to NASD Rule 2790
    See also: Order: Rel. No. 34-52209A;  Order: Rel. No. 34-52209
    Comments received are available for this notice.

    SR-NASD-2004-009
    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
    See also:  Order: Rel. No. 34-52141

    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
    See also:  Notice: Rel. No. 34-51504

    SR-NASD-2005-052
    34-51693 May 12, 2005 Notice of Filing of Proposed Rule Change and Amendments No. 1 and No. 2 Thereto Relating to Honorarium for Arbitrators Deciding Discovery-related Motions
    Comments due:  June 9, 2005
    See also:  Order: Rel. No. 34-51031
    Comments received are available for this notice.

    SR-NASD-2005-053
    34-51688 May 12, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay Implementation Date of Revisions to the Series 4 Examination Program
    Comments due:  June 9, 2005

    SR-NASD-2005-039
    34-51683 May 11, 2005 Notice of Filing of Proposed Rule Change to Incorporate the Brut System Book Feed Into the TotalView Entitlement
    Comments due:  June 7, 2005
    See also:  Order: Rel. No. 34-51862

    SR-NASD-2005-056
    34-51668 May 9, 2005 Notice of Filing of Proposed Rule Change, and Amendment No. 1 thereto, Eliminating the Directed Order Process in The Nasdaq Market Center
    See also:  Order: Rel. No. 34-52148

    SR-NASD-2005-033
    34-51658 May 5, 2005 Order Granting Approval of Proposed Rule Change Relating to Taping Rule “Opt Out” and Exemption Provisions
    See also:  Notice: Rel. No. 34-51434

    SR-NASD-2005-043
    34-51644 May 2, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to an Exemption from the Research Analyst Qualification Examination for Certain Associated Persons Employed by Non-Member Foreign Affiliates Who Contribute to the Preparation of Member Research Reports
    File No.:  SR-NYSE-2005-25
    Comments due:  May 27, 2005

    SR-NASD-2005-049
    34-51630 Apr. 28, 2005 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Modify the Pricing for Non-NASD Members Using Nasdaq's Brut Facility
    Comments due:  May 27, 2005

    SR-NASD-2005-054
    34-51626 Apr. 28, 2005 Notice of Filing of Proposed Rule Change Relating to Certain Amendments to the Restated Certificate of Incorporation and the By-Laws of The Nasdaq Stock Market, Inc.
    Comments due:  May 25, 2005
    See also:  Order: Rel. No. 34-51741

    SR-NASD-2005-026
    34-51611 Apr. 26, 2005 Order Approving Proposed Rule Change Relating to TRACE Market Data Fees
    See also:  Notice: Rel. No. 34-51336

    SR-NASD-2005-013
    34-51609 Apr. 26, 2005 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Create a Uniform Pricing Structure for the Nasdaq Market Center
    Comments due:  May 23, 2005
    Comments received are available for this notice.

    SR-NASD-2005-004
    34-51605 Apr. 25, 2005 Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Annual Compliance Meetings
    See also:  Notice: Rel. No. 34-51368

    SR-NASD-2005-048
    34-51599 Apr. 22, 2005 Notice of Filing and and Immediate Effectiveness of Proposed Rule Change to Modify Pricing for NASD Members Using Nasdaq's Brut Facility
    Comments due:  May 19, 2005

    SR-NASD-2004-185
    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
    See also:  Order: Rel. No. 34-51814
    Comments received are available for this notice.

    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
    See also:  Notice: Rel. No. 34-51358

    SR-NASD-2005-042
    34-51583 Apr. 20, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Fees for Non-Members Using the New Nasdaq Workstation
    Comments due:  May 17, 2005

    SR-NASD-2005-041
    34-51581 Apr. 20, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Fees for Members Using the New Nasdaq Workstation
    Comments due:  May 17, 2005

    SR-NASD-2005-024
    34-51559 Apr. 15, 2005 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Make Clear that the Underlying Index Value for Portfolio Depository Receipts and Index Fund Shares Must Be Disseminated Widely by an Appropriate Service
    Comments due:  May 12, 2005
    See also:  Order: Rel. No. 34-51748

    SR-NASD-2005-045
    34-51526 Apr. 12, 2005 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Delivery of Customer Agreements Containing Predispute Arbitration Clauses
    Comments due:  May 10, 2005

    SR-NASD-2005-050
    34-51522 Apr. 11, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Nasdaq Opening Process for Nasdaq-Listed Stocks
    Comments due:  May 13, 2005

    SR-NASD-2005-040
    34-51520 Apr. 11, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Establishing a Pilot Period to Increase Position and Exercise Limits for Equity Options and Establishing a Reverse Collar Hedge Exemption
    Comments due:  May 5, 2005

    SR-NASD-2005-044
    34-51511 Apr. 7, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to NASD Rules 4510(a) and 4520(a) to Clarify Rule Language Regarding Entry and Application Fees for Issuers Listed on a National Securities Exchange That Transfer Their Listing to Nasdaq
    Comments due:  May 6, 2005

    SR-NASD-2004-033
    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
    See also:  Order: Rel. No. 34-51703

    SR-NASD-2005-035
    34-51499 Apr. 6, 2005 Notice of Filing and and Immediate Effectiveness of Proposed Rule Change to Modify Pricing for NASD Members Using the Nasdaq Market Center and Nasdaq's Brut Facility
    Comments due:  May 4, 2005

    SR-NASD-2005-038
    34-51498 Apr. 6, 2005 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Modify the Pricing for Non-NASD Members Using Nasdaq's Brut Facility
    Comments due:  May 4, 2005

    SR-NASD-2004-135
    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
    See also:  Order: Rel. No. 34-54088
    Comments received are available for this notice.

    SR-NASD-2005-034
    34-51449 Mar. 30, 2005 Notice of Filing and and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Provide Limited Compensation for Losses Due to Malfunctions of the Order-Execution Systems of the Nasdaq Market Center or Nasdaq's Brut Facility
    Comments due:  April 27, 2005

    SR-NASD-2005-033
    34-51434 Mar. 24, 2005 Notice of Filing of Proposed Rule Change Relating to Taping Rule “Opt Out” and Exemption Provisions
    Comments due:  April 25, 2005
    See also:  Order: Rel. No. 34-51658

    SR-NASD-2004-139
    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
    See also:  Order: Rel. No. 34-51891

    SR-NASD-2005-003
    34-51420 Mar. 23, 2005 Order Granting Approval to Proposed Rule Change to Amend Rule 4350(n) and IM-4350-7 to Conform the Time Frame for the Disclosure of a Waiver to a Company’s Code of Conduct to the Time Frame Required for Similar Disclosure by the Commission’s Form 8-K
    See also:  Notice: Rel. No. 34-51197

    SR-NASD-2005-031
    34-51386 Mar. 16, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Modifications to the Nasdaq Opening Process for Nasdaq-Listed Stocks
    Comments due:  April 13, 2005

    SR-NASD-2005-029
    34-51382 Mar. 16, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Modifications to the Nasdaq Opening Process For Nasdaq-Listed Stocks
    Comments due:  April 13, 2005

    SR-NASD-2005-004
    34-51368 Mar. 14, 2005 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Annual Compliance Meetings
    Comments due:  April 11, 2005
    See also:  Order: Rel. No. 34-51605
    Comments received are available for this notice.

    SR-NASD-2004-141
    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
    See also:  Order: Rel. No. 34-51593
    Comments received are available for this notice.

    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
    See also:  Notice: Rel. No. 34-51092

    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
    See also:  Notice: Rel. No. 34-51083

    SR-NASD-2003-141
    34-51338 Mar. 9, 2005 Notice of Filing of Proposed Rule Change to Adopt an Additional Mark-Up Policy for Transactions in Debt Securities Except Municipal Securities
    Comments due:  April 5, 2005
    See also:  Order: Rel. No. 34-55638, Notice: Rel. No. 34-54799
    Comments received are available for this notice.

    SR-NASD-2005-026
    34-51336 Mar. 9, 2005 Notice of Filing of Proposed Rule Change Relating to TRACE Market Data Fees
    Comments due:  April 6, 2005
    See also:  Order: Rel. No. 34-51611
    Comments received are available for this notice.

    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
    See also:  Notice: Rel. No. 34-51078

    SR-NASD-2005-007
    34-51325 Mar. 7, 2005 Order Approving Proposed Rule Change Relating to a Proposal to Adopt a New IM-10308 on Mediators Serving as Arbitrators
    See also:  Notice: Rel. No. 34-51097

    SR-NASD-2004-042
    34-51324 Mar. 7, 2005 Order Approving Proposed Rule Change Relating to Foreign Hearing Locations
    See also:  Notice: Rel. No. 34-51082

    SR-NASD-2005-028
    34-51323 Mar. 4, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Discontinuation of the Nasdaq PostData Pilot Program
    Comments due:  April 4, 2005

    SR-NASD-2005-027
    34-51278 Feb. 28, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Clarifying Members' Obligations to Report Cancelled Trades
    Comments due:  March 28, 2005

    SR-NASD-2004-125
    34-51268 Feb. 28, 2005 Notice of Filing of Proposed Rule Change Regarding Procedures for Denying Listing on Nasdaq
    Comments due:  March 25, 2005
    See also:  Order: Rel. No. 34-52342
    Comments received are available for this notice.

    SR-NASD-2005-022
    34-51240 Feb. 23, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Changes by the National Association of Securities Dealers, Inc. to Provide an Exemption from the Research Analyst Qualification Examination for Certain Associated Persons Who Prepare Technical Research Reports and the New York Stock Exchange, Inc. Relating to an Alternative Qualification Standard for the Research Analyst Qualification Examination Requirement for Technical Analysts
    File Nos.: SR-NASD-2005-022 and SR-NYSE-2005-12
    Comments due:  March 24, 2005
    Comments received are available for this notice.

    SR-NASD-2005-017
    34-51233 Feb. 18, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 thereto Regarding Modifications to the Nasdaq Opening Process For Nasdaq-Listed Stocks
    Comments due:  March 18, 2005

    SR-NASD-2004-089
    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
    See also:  Order: Rel. No. 34-52210

    SR-NASD-2004-045
    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
    See also:  Order: Rel. No. 34-52226
    Comments received are available for this notice.

    SR-NASD-2004-026
    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
    See also:  Notice: Rel. No. 34-52637; Order: Rel. No. 34-54339
    Comments received are available for this notice.

    SR-NASD-2005-020
    34-51225 Feb. 17, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. to Modify Pricing for Non-Members Using Nasdaq's Brut Facility
    Comments due:  March 18, 2005

    SR-NASD-2005-019
    34-51224 Feb. 17, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. to Modify Pricing for NASD Members Using the Nasdaq Market Center and Nasdaq's Brut Facility
    Comments due:  March 18, 2005

    SR-NASD-2005-010
    34-51223 Feb. 17, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 to Modify Restrictions on Computer-Generated Quoting
    Comments due:  March 18, 2005

    SR-NASD-2005-018
    34-51221 Feb. 17, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit Foreign Private Issuers to Follow Certain Home Country Practices
    Comments due:  March 17, 2005
    Comments received are available for this notice.

    SR-NASD-2005-025
    34-51216 Feb. 16, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 4 Examination Program
    Comments due:  March 16, 2005

    SR-NASD-2005-015
    34-51215 Feb. 16, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 55 Examination Program
    Comments due:  March 16, 2005

    SR-NASD-2005-014
    34-51214 Feb. 16, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 11 Examination Program
    Comments due:  March 16, 2005

    SR-NASD-2004-180
    34-51213 Feb. 16, 2005 Order Approving Proposed Rule Change Regarding Waiver of California Arbitrator Standards
    See also:  Notice: Rel. No. 34-50971

    SR-NASD-2005-003
    34-51197 Feb. 14, 2005 Notice of Filing of Proposed Rule Change to Amend Rule 4350(n) and IM-4350-7 to Conform the Time Frame for the Disclosure of a Waiver to a Company’s Code of Conduct to the Time Frame Required for Similar Disclosure by the Commission’s Form 8-K
    Comments due:  March 11, 2005
    See also:  Order: Rel. No. 34-51420

    SR-NASD-2005-021
    34-51187 Feb. 10, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Guidance Regarding Members’ Regulatory Transaction Fees
    Comments due:  March 15, 2005

    SR-NASD-2004-171
    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
    See also:  Order: Rel. No. 34-54411
    Comments received are available for this notice.

    SR-NASD-2005-016
    34-51171 Feb. 9, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for the Nasdaq Information Exchange Protocol
    Comments due:  March 9, 2005

    SR-NASD-2005-002
    34-51170 Feb. 9, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Establish Fees for Connectivity to the Nasdaq Market Center
    Comments due:  March 9, 2005

    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
    See also:  Notice: Rel. No. 34-50897

    SR-NASD-2005-007
    34-51097 Jan. 28, 2005 Notice of Filing of Proposed Rule Change Relating to a Proposal to Adopt a New IM-10308 on Mediators Serving as Arbitrators
    Comments due:  February 24, 2005
    See also:  Order: Rel. No. 34-51097
    Comments received are available for this notice.

    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
    See also:  Notice: Rel. No. 34-51356

    SR-NASD-2004-164
    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
    See also:  Order: Rel. No. 34-51339
    Comments received are available for this notice.

    SR-NASD-2004-042
    34-51082 Jan. 26, 2005 Notice of Proposed Rule Change Relating to Foreign Hearing Locations
    Comments due:  February 24, 2005
    See also:  Order: Rel. No. 34-51324

    SR-NASD-2004-173
    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
    See also:  Order: Rel. No. 34-51326

    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-2003-140
    34-51039 Jan. 14, 2005 Notice of Extension of the Comment Period of Proposed Rule Changes Relating to the Prohibition of Certain Abuses in the Allocation and Distribution of Shares in Initial Public Offerings
    Comments due:  February 15, 2005
    Additional File Nos.:  SR-NYSE-2004-12
    See also:  Notice/Order: Rel. No. 34-63010; Notice: Rel. No. 34-61690; Notice: Rel. No. 34-50896
    Comments received are available for this notice.

    SR-NASD-2005-001
    34-51025 Jan. 11, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 3360 on Short Interest Reporting
    Comments due:  February 9, 2005

    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-2004-142
    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
    See also:  Notice: Rel. No. 34-50741

    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
    See also:  Notice: Rel. No. 34-50740

    SR-NASD-2004-180
    34-50971 Jan. 6, 2005 Notice of Filing of Proposed Rule Change Regarding Waiver of California Arbitrator Disclosure Standards
    Comments due:  February 4, 2005
    See also:  Order: Rel. No. 34-51213

    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-2004-189
    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-2004-190
    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


    NASD File Number List
    Release No. Date Details

    SR-NASD-2005-156
    34-53317 Feb. 15, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Modify Fees for the use of Nasdaq’s Application Programming Interface Protocol by NASD Members
    Comments due:  March 16, 2006

    SR-NASD-2005-155
    34-53082 Jan. 9, 2006 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto to Modify the Pricing for Non-Members Using Nasdaq’s Brut Facility
    Comments due:  February 7, 2006

    SR-NASD-2005-154
    34-53081 Jan. 9, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Modify Pricing for NASD Members Using the Nasdaq Market Center and Nasdaq’s Brut Facility
    Comments due:  February 7, 2006

    SR-NASD-2005-153
    34-53067 Jan. 6, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Procedures for Review of Listing Determinations
    Comments due:  February 8, 2006

    SR-NASD-2005-152
    34-53026 Dec. 27, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Manning Price-Improvement Standards for Decimals
    Comments due:  January 25, 2006

    SR-NASD-2005-150
    34-53017 Dec. 22, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Nasdaq’s Minimum Pricing Increment Rules
    Comments due:  January 19, 2006

    SR-NASD-2005-149
    34-53093 Jan. 10, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 thereto Relating to an Extension of the NASD Short Sale Rule and Continued Suspension of Primary Market Maker Standards Set Forth In NASD Rule 4612
    Comments due:  February 8, 2006

    SR-NASD-2005-148
    34-53006 Dec. 22, 2005 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Fees For Non-NASD Members Using Nasdaq’s INET Facility
    Comments due:  January 19, 2006

    SR-NASD-2005-147
    34-53005 Dec. 22, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for NASD Members Using Nasdaq’s INET Facility
    Comments due:  January 19, 2006

    SR-NASD-2005-146
    34-55351 Feb. 26, 2007 Notice of Filing of Amendment No. 3 to and Order Granting Accelerated Approval of a Proposed Rule Change as Modified by Amendment Nos. 2 and 3 Thereto to Expand the Scope of IM-2110-2 Relating to Trading Ahead of Customer Limit Orders to Apply to All OTC Equity Securities
    Comments due:  March 26, 2007
    34-54705 Nov. 3, 2006 Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 Thereto to Expand the Scope of IM-2110-2 Relating to Trading Ahead of Customer Limit Orders to Apply to All OTC Equity Securities
    Comments due:  November 30, 2006
    Comments received are available for this notice.

    SR-NASD-2005-145
    34-53022 Dec. 23, 2005 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto Relating to a Certificate of Designation for Preferred Stock of the Nasdaq Stock Market, Inc.
    Comments due:  January 20, 2006

    SR-NASD-2005-144
    34-53371 Feb. 24, 2006 Order Granting Approval of a Proposed Rule Change Relating to Order Entry and Execution Practices
    34-53132 Jan. 17, 2006 Notice of Filing of Proposed Rule Change Relating to Order Entry and Execution Practices
    Comments due:  February 13, 2006
    Comments received are available for this notice.

    SR-NASD-2005-143
    34-52997 Dec. 22, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Allow Nasdaq Capital Market Issuers That Transfer Their Listing to the Nasdaq National Market to Apply the Amount of the Capital Market Entry Fee Toward the Entry Fee Payable for Listing on the National Market, and to Make Other Clarifying Changes
    Comments due:  January 19, 2006

    SR-NASD-2005-141
    34-52978 Dec. 19, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Modify the Execution Fees for Quotes and Orders Executed in the Nasdaq Opening Cross
    Comments due:  January 17, 2006

    SR-NASD-2005-140
    34-54101 Jul. 5, 2006 Order Approving a Proposed Rule Change and Amendments No. 1 and 2 Regarding the Nasdaq Crossing Network
    34-53745 May 1, 2006 Notice of Filing of Proposed Rule Change Regarding the Nasdaq Crossing Network
    Comments due:  May 26, 2006

    SR-NASD-2005-139
    34-52998 Dec. 22, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASD Rule 2111 to Eliminate References to NASD Rule 6440(f)(2), Which Will Be Repealed
    Comments due:  January 19, 2006

    SR-NASD-2005-138
    34-52938 Dec. 9, 2005 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Modify the Pricing for Non-Members Using Nasdaq’s Brut Facility
    Comments due:  January 9, 2006

    SR-NASD-2005-137
    34-52939 Dec. 9, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Pricing for NASD Members Using the Nasdaq Market Center and Nasdaq’s Brut Facility
    Comments due:  January 9, 2006

    SR-NASD-2005-136
    34-52899 Dec. 6, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Allow Nasdaq to Issue Public Reprimand Letters
    Comments due:  January 5, 2006

    SR-NASD-2005-135
    34-53182 Jan. 26, 2006 Order Approving a Proposed Rule Change Relating to the Status of Former Registered Persons Serving in the Armed Forces of the United States
    34-52979 Dec. 19, 2005 Notice of Filing of Proposed Rule Change Relating to the Status of Former Registered Persons Serving in the Armed Forces of the United States
    Comments due:  January 17, 2006

    SR-NASD-2005-134
    34-52980 Dec. 19, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Status of Registered Persons and Sole Proprietors Serving in the Armed Forces of the United States
    Comments due:  January 17, 2006

    SR-NASD-2005-133
    34-52981 Dec. 19, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Increase in Fees for Certain Qualification Examinations
    Comments due:  January 17, 2006

    SR-NASD-2005-132
    34-52947 Dec. 13, 2005 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to a Session Fee Increase for the Regulatory Element of the Continuing Education Requirements of NASD Rule 1120
    Comments due:  January 10, 2006

    SR-NASD-2005-128
    34-52902 Dec. 7, 2005 Order Approving a Proposed Rule Change to Establish Rules Governing the Operation of the INET System
    34-52723 Nov. 2, 2005 Notice of Filing of Proposed Rule Change to Establish Rules Governing the Operation of the INET System
    Comments due:  November 28, 2005

    SR-NASD-2005-127
    34-52825 Nov. 22, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASD Rule 7010 to Change the Fee Structure for the “Browse/Query” function in the Trade Reporting Service of the Nasdaq Market Center
    Comments due:  December 21, 2005

    SR-NASD-2005-126
    34-52758 Nov. 9, 2005 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Modify the Pricing for Non-Members Using the Nasdaq’s Brut Facility
    Comments due:  December 8, 2005

    SR-NASD-2005-125
    34-52757 Nov. 9, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Pricing for NASD Members Using the Nasdaq Market Center and Nasdaq’s Brut Facility
    Comments due:  December 8, 2005

    SR-NASD-2005-124
    34-52722 Nov. 2, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Repeal NASD Rule 6440(f)
    Comments due:  November 30, 2005

    SR-NASD-2005-121
    34-52727 Nov. 3, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Rule 3012, Rule 3013, and IM-3013
    Comments due:  November 30, 2005

    SR-NASD-2005-120
    34-53031 Dec. 28, 2005 Order Approving a Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 1 Thereto Relating to the Dissemination of TRACE Trade Information
    Comments received are available for this notice.
    34-52700 Oct. 28, 2005 Notice of Filing of Proposed Rule Change Relating to Dissemination of Information on TRACE-eligible Securities Transactions
    Comments due:  November 28, 2005
    Comments received are available for this notice.

    SR-NASD-2005-119
    34-52756 Nov. 9, 2005 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Listing and Trading of Strategic Total Return SecuritiesSM Linked to the CBOE Nasdaq-100 BuyWrite Index
    Comments due:  December 9, 2005

    SR-NASD-2005-118
    34-52725 Nov. 3, 2005 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 9% Targeted Income Strategic Total Return SecuritiesSM Linked to the CBOE Nasdaq-100 BuyWrite Index
    Comments due:  December 1, 2005

    SR-NASD-2005-117
    34-53027 Dec. 27, 2005 Order Approving Proposed Rule Change and Amendment No. 1 Thereto Seeking Permanent Approval of Rules Concerning Bond Mutual Fund Volatility Ratings Prior to Expiration of Pilot
    Comments received are available for this notice.
    34-52709 Nov. 1, 2005 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Seeking Permanent Approval of Rules Concerning Bond Mutual Fund Volatility Ratings Prior to Expiration of Pilot
    Comments due:  November 28, 2005
    Comments received are available for this notice.

    SR-NASD-2005-116
    34-52896 Dec. 6, 2005 Order Approving Proposed Rule Change to Modify Nasdaq’s Auditor Peer Review Requirement
    34-52645 Oct. 20, 2005 Notice of Filing of Proposed Rule Change to Modify Nasdaq’s Auditor Peer Review Requirement
    Comments due:  November 16, 2005

    SR-NASD-2005-115
    34-52549 Oct. 3, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASD Rule 11890
    Comments due:  October 28, 2005

    SR-NASD-2005-114
    34-57803 May 8, 2008 Order Approving Proposed Rule Change and Amendment Nos. 1, 2, 3, and 4 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 5 Relating to the Regulation of Compensation, Fees and Expenses in Public Offerings of Real Estate Investment Trusts and Direct Participation Programs
    Comments due:  June 4, 2008
    Comments received are available for this notice.
    * Submit comments on SR-NASD-2005-114
    34-57199 Jan. 25, 2008 Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, 3 and 4 Relating to the Regulation of Compensation, Fees and Expenses in Public Offerings of Real Estate Investment Trusts and Direct Participation Programs
    Comments due:  February 21, 2008
    Comments received are available for this notice.
    * Submit comments on SR-NASD-2005-114
    34-54118 Jul. 10, 2006 Notice of Filing of Proposed Rule Change Relating to the Regulation of Compensation, Fees, and Expenses in Public Offerings of Real Estate Investments Trusts and Direct Participation Programs
    Comments due:  August 7, 2006
    Comments received are available for this notice.
    * Submit comments on SR-NASD-2005-114

    SR-NASD-2005-113
    34-52511 Sep. 27, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Proactive Limit Orders
    Comments due:  October 24, 2005

    SR-NASD-2005-112
    34-53224 Feb. 3, 2006 Order Approving Proposed Rule Change Relating to Amendments to Rule 3360 to Expand Short Interest Reporting to OTC Equity Securities
    Comments received are available for this notice.
    34-52679 Oct. 26, 2005 Notice of Filing of Proposed Rule Change Relating to Amendments to Rule 3360 to Expand Short Interest Reporting to OTC Equity Securities
    Comments due:  November 25, 2005
    Comments received are available for this notice.

    SR-NASD-2005-111
    34-52548 Sep. 30, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 9/10 Examination Program
    Comments due:  November 1, 2005

    SR-NASD-2005-110
    34-52547 Sep. 30, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 6 Examination Program
    Comments due:  November 1, 2005

    SR-NASD-2005-109
    34-52546 Sep. 30, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 4 Examination Program
    Comments due:  November 1, 2005

    SR-NASD-2005-108
    34-52489 Sep. 21, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rename The Nasdaq SmallCap Market
    Comments due:  October 20, 2005

    SR-NASD-2005-107
    34-52449 Sep. 15, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Regarding Enhancements to the Nasdaq Market Center Pegged Order Functionality
    Comments due:  October 13, 2005

    SR-NASD-2005-106
    34-52746 Nov. 7, 2005 Order Approving Proposed Rule Change Regarding Fees for Closed-End Funds Listing on The Nasdaq Capital Market
    34-52515 Sep. 27, 2005 Notice of Filing of Proposed Rule Change Regarding Fees for Closed-End Funds Listing on The Nasdaq SmallCap Market
    Comments due:  October 24, 2005

    SR-NASD-2005-104
    34-52372 Aug. 31, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend on a Pilot Basis Rules Concerning Bond Mutual Fund Volatility Ratings
    Comments due:  September 29, 2005

    SR-NASD-2005-103
    34-52431 Sep. 14, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Technical Changes to NASD Rule 3110 and IM-3110
    Comments due:  October 12, 2005

    SR-NASD-2005-102
    34-52376A Sep. 7, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Allow Members to Report Certain Trades in Exchange-Listed Securities Through the Execution Services of the Nasdaq Market Center [Correction]
    Comments due:  September 30, 2005
    34-52376 Sep. 1, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Allow Members to Report Certain Trades in Exchange-Listed Securities Through the Execution Services of the Nasdaq Market Center
    Comments due:  September 30, 2005

    SR-NASD-2005-101
    34-54585 Oct. 10, 2006 Order Approving Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 Thereto Relating to Expansion of OATS Reporting Requirements to OTC Equity Securities
    Comments due:  November 7, 2006
    Comments received are available for this notice.
    34-52581 Oct. 11, 2005 Notice of Filing of Proposed Rules Change Relating to Expansion of OATS Reporting Requirements to OTC Equity Securities
    Comments due:  November 8, 2005
    Comments received are available for this notice.

    SR-NASD-2005-100
    34-67867 Sep. 14, 2012 Notice of Withdrawal of Proposed Rule Change and Amendments Nos. 1, 2, 3 and 4 Thereto, To Require Members To Provide Customers in TRACE-Eligible Debt Securities with Additional, Transaction-Specific Disclosures and To Notify Customers of the Availability of a Disclosure Document
    34-56661 Oct. 15, 2007 Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, 3, and 4 Thereto, To Require Members To Provide Customers in TRACE-Eligible Debt Securities with Additional, Transaction-Specific Disclosures and To Notify Customers of the Availability of a Disclosure Document
    Comments due:  December 3, 2007
    Comments received are available for this notice.

    SR-NASD-2005-099
    34-52897 Dec. 6, 2005 Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to the Restated Certificate of Incorporation of The Nasdaq Stock Market, Inc.
    34-52574 Oct. 7, 2005 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to the Restated Certificate of Incorporation of The Nasdaq Stock Market, Inc.
    Comments due:  November 14, 2005

    SR-NASD-2005-098
    34-53556 Mar. 27, 2006 Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to the Submission of SEC Rule 15c2-11 Information on Non-Nasdaq Securities
    34-53276 Feb. 13, 2006 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Submission of SEC Rule 15c2-11 Information on Non-Nasdaq Securities
    Comments due:  March 14, 2006

    SR-NASD-2005-097
    34-52271 Aug. 16, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Program that Increases Position and Exercise Limits for Equity Options
    Comments due:  September 13, 2005

    SR-NASD-2005-096
    34-52277 Aug. 17, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Nasdaq Listing Fees for Closed-End Funds
    Comments due:  September 13, 2005

    SR-NASD-2005-095
    34-53024 Dec. 27, 2005 Notice of Filing of Proposed Rule Change and Amendment No. 2 Thereto Relating to Sub-Penny Restrictions for Non-Nasdaq Over-the-Counter Equity Securities
    Comments due:  January 24, 2006
    * Click to submit comments on SR-NASD-2005-095
    34-52280 Aug. 17, 2005 Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Sub-Penny Restrictions for Non-Nasdaq Over-the-Counter Equity Securities
    Comments due:  September 15, 2005
    Comments received are available for this notice.
    * Click to submit comments on SR-NASD-2005-095

    SR-NASD-2005-094
    34-54607 Oct. 16, 2006 Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to the Classification of Arbitrators Pursuant to Rule 10308 of the NASD Code of Arbitration Procedure
    Comments received are available for this notice.
    34-52332 Aug. 24, 2005 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to the Classification of Arbitrators Pursuant to Rule 10308 of the NASD Code of Arbitration
    Comments due:  September 20, 2005
    Comments received are available for this notice.

    SR-NASD-2005-093
    34-52426 Sep. 14, 2005 Order of Summary Abrogation Relating to the Re-adoption of NASD Rule 3370
    34-52131 Jul. 27, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to NASD Rule 3370
    Comments due:  August 24, 2005
    Comments received are available for this notice.

    SR-NASD-2005-092
    34-52122 Jul. 25, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Operation of NASD's Alternative Display Facility as a Temporary Pilot
    Comments due:  August 22, 2005

    SR-NASD-2005-091
    34-52156 Jul. 28, 2005 Notice of Filing of Proposed Rule Change Regarding the Nasdaq Opening Process for Initial Public Offerings
    Comments due:  August 25, 2005
    * Click to submit comments on SR-NASD-2005-091

    SR-NASD-2005-090
    34-52170 Jul. 29, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 thereto to Modify Brut’s Directed Cross Order Routing Process
    Comments due:  August 25, 2005
    Comments received are available for this notice.

    SR-NASD-2005-089
    34-52508 Sep. 26, 2005 Order Granting Approval to Proposed Rule Change and Amendment No. 1 Thereto, and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 2, 3, and 4 Thereto, Relating to NASD’s Direct Authority for the Activities Related to or in Support of Trading in Over-the-Counter Equity Securities
    Comments received are available for this notice.
    34-52119 Jul. 25, 2005 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to NASD’s Direct Authority for the Activities Related to or in Support of Trading in Over-the-Counter Equity Securities
    Comments due:  August 19, 2005
    Comments received are available for this notice.

    SR-NASD-2005-088
    34-52121 Jul. 25, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Non-NASD Member Access to Nasdaq's Brut Facility
    Comments due:  August 22, 2005

    SR-NASD-2005-087
    34-54084 Jun. 30, 2006 Order Approving Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 Relating to Amendments to the NASD’s Rules Following the Nasdaq Exchange's Operation as a National Securities Exchange for Nasdaq UTP Plan Securities
    Comments due:  July 31, 2006
    34-52049 Jul. 15, 2005 Notice of Filing of Proposed Rule Change to Reflect Nasdaq’s Separation from NASD Upon Nasdaq’s Anticipated Approval as a National Securities Exchange
    Comments due:  August 12, 2005
    Additional Materials:
  • Exhibit 3: Limited Liability Company Agreement of [the Trade Reporting Facility LLC]
  • Exhibit 5: Plan of Allocation and Delegation of Functions by NASD to Subsidiaries

    Comments received are available for this notice.

    SR-NASD-2005-086
    34-52176 Jul. 29, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Article VIII of the By-Laws of NASD Regulation, Inc. Relating to District Committees and District Nominating Committees
    Comments due:  August 31, 2005
    Comments received are available for this notice.

    SR-NASD-2005-085
    34-51953 Jun. 30, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Relating to Manning Price-Improvement Standards for Decimals
    Comments due:  August 1, 2005

    SR-NASD-2005-084
    34-52799 Nov. 18, 2005 Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Amendments to the Rule Regarding Supervisory Control Systems, Rule 3012, to Require Notification of Reliance on “Limited Size and Resources” Exception
    34-52195 Aug. 3, 2005 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Amendments to the Rule Regarding Supervisory Control Systems, Rule 3012, to Require Notification of Reliance on “Limited Size and Resources” Exception
    Comments due:  August 30, 2005
    Comments received are available for this notice.

    SR-NASD-2005-083
    34-51929 Jun. 28, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Definition of “Non-Professional” and Use of TRACE Transaction Data
    Comments due:  July 27, 2005

    SR-NASD-2005-082
    34-52603 Oct. 13, 2005 Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Clarify the Listing Standards Applicable to Companies in Bankruptcy Proceedings
    34-52385 Sep. 7, 2005 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Clarify the Listing Standards Applicable to Companies in Bankruptcy Proceedings
    Comments due:  October 4, 2005

    SR-NASD-2005-081
    34-51956 Jun. 30, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand Maximum Single Order Share Size Limits in Nasdaq’s Brut Facility
    Comments due:  August 1, 2005

    SR-NASD-2005-080
    34-56645 Oct. 11, 2007 Notice of Filing of Amendment No. 4 and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendments Nos. 1, 2, 3 and 4 Relating to Fairness Opinions
    Comments due:  November 8, 2007
    34-53598 Apr. 4, 2006 Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2 and 3 thereto to Establish New NASD Rule 2290 Regarding Fairness Opinions
    Comments due:  May 2, 2006
    Comments received are available for this notice.

    SR-NASD-2005-079
    34-55038 Jan. 3, 2007 Order Approving Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 4 to Revise Rule 10322 of the NASD Code of Arbitration Procedure Pertaining to Subpoenas and the Power to Direct Appearances
    Comments due:  February 1, 2007
    Comments received are available for this notice.
    34-54134 Jul. 12, 2006 Notice of Filing of Amendments Nos. 1, 2 and 3 to Proposed Rule Change to Revise Rule 10322 of the NASD Code of Arbitration Procedure which Pertains to Subpoenas and the Power to Direct Appearances
    Comments due:  August 8, 2006
    Comments received are available for this notice.
    34-51981 Jul. 6, 2005 Notice of Filing of Proposed Rule Change to Provide for a 10-Day Notice Requirement Before a Party Issues a Subpoena to a Non-Party for Pre-Hearing Discovery
    Comments due:  August 3, 2005
    Comments received are available for this notice.

    SR-NASD-2005-076
    34-51932 Jun. 28, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Fees for NASD Members Using the New Testing Facility
    Comments due:  July 27, 2005

    SR-NASD-2005-075
    34-51933 Jun. 28, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Fees for Non-Members Using the New Testing Facility
    Comments due:  July 27, 2005

    SR-NASD-2005-073
    34-53578 Mar. 30, 2006 Order Granting Approval of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 3 Thereto Relating to Rule 4350(e) to Amend the Annual Shareholder Meeting Requirement
    34-52985 Dec. 20, 2005 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Rule 4350(e) to Amend the Annual Shareholder Meeting Requirement
    Comments due:  January 18, 2006

    SR-NASD-2005-072
    34-52091 Jul. 20, 2005 Notice of Filing and Order Granting Accelerated Approval to the Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Modifying Pricing for Non-Members Using Nasdaq’s Brut Facility
    Comments due:  August 17, 2005

    SR-NASD-2005-071
    34-52089 Jul. 20, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Modify Pricing for NASD Members Using the Nasdaq Market Center and Nasdaq’s Brut Facility
    Comments due:  August 17, 2005

    SR-NASD-2005-070
    34-51825 Jun. 13, 2005 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to Rescinding the Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Relating to the Waiver of the California Ethics Standards for Neutral Arbitrators in Contractual Arbitration
    Comments due:  July 11, 2005

    SR-NASD-2005-069
    34-51810 Jun. 9, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Multiple Market Participant Identifiers
    Comments due:  July 6, 2005

    SR-NASD-2005-068
    34-52133 Jul. 27, 2005 Order Approving Proposed Rule Change Regarding a New Order Type for the Pre-Market Trading Session
    34-51859 Jun. 16, 2005 Notice of Filing of Proposed Rule Change Regarding a New Order Type for the Pre-market Trading Session
    Comments due:  July 14, 2005

    SR-NASD-2005-067
    34-54028 Jun. 21, 2006 Order Granting Approval to Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto Relating to Amendments to NASD Rule 6530 to Clarify the Review Process for OTCBB Eligibility Determinations and to Implement Fees for Such Review
    34-53546 Mar. 24, 2006 Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto Relating to Amendments to NASD Rule 6530 to Clarify the Review Process for OTCBB Eligibility Determinations and to Implement Fees for Such Review
    Comments due:  April 21, 2006

    SR-NASD-2005-066
    34-53030 Dec. 28, 2005 Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to NASD Rule 3011 and the Adoption of New Related Interpretive Material
    Comments received are available for this notice.
    34-51935 Jun. 29, 2005 Notice of Filing of Proposed Rule Change Relating to Amendments to NASD Rule 3011 and the Adoption of New Related Interpretive Material
    Comments due:  July 27, 2005
    Comments received are available for this notice.

    SR-NASD-2005-065
    34-51854 Jun. 15, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Nasdaq Market Center Rules for Trade Reporting of Exchange-Listed Securities
    Comments due:  July 13, 2005

    SR-NASD-2005-064
    34-52692 Oct. 28, 2005 Order Granting Approval of Proposed Rule Change as Amended by Amendment No. 1 Relating to the Publication of Decisions Issued by the National Adjudicatory Council Pursuant to NASD Rule 1015
    34-51786 Jun. 6, 2005 Notice of Filing of Proposed Rule Change Relating to the Publication of any Decision Issued by the National Adjudicatory Council Pursuant to Rule 1015
    Comments due:  July 5, 2005
    Comments received are available for this notice.

    SR-NASD-2005-063
    34-52183 Aug. 1, 2005 Order Approving Proposed Rule Change to Amend NASD Rule 7010(k) Relating to TRACE Transaction Data Fees
    Comments due:  21 days after publication in the Federal Register
    34-51874 Jun. 17, 2005 Notice of Filing of Proposed Rule Change to Amend NASD Rule 7010(k) Relating to TRACE Transaction Data
    Comments received are available for this notice.

    SR-NASD-2005-062
    34-51837 Jun. 13, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Modify the Text of NASD Trade Reporting Rules to Reflect the Implementation of SR-NASD-2003-159
    Comments due:  July 13, 2005

    SR-NASD-2005-061
    34-51860 Jun. 16, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend for an Additional Two-Year Period NASD’s Authority under the Cease and Desist Pilot Program
    Comments due:  July 14, 2005

    SR-NASD-2005-060
    34-52112 Jul. 22, 2005 Order Approving Proposed Rule Change to Create the ModelView Entitlement, an Historical Data Product Designed to Provide the Aggregate Amount of Both Displayed and Reserve Size Liquidity in the Nasdaq Market Center at Each Price Level
    34-51851 Jun. 14, 2005 Notice of Filing of Proposed Rule Change to Create the ModelView Entitlement
    Comments due:  July 12, 2005

    SR-NASD-2005-059
    34-52517 Sep. 27, 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 Amend NASD Rule 7090 to Modify the Annual Listing and Administrative Fees
    34-51836 Jun. 13, 2005 Notice of Filing of Proposed Rule Change and Amendment No. 1 thereto to Amend NASD Rule 7090 to Modify the Annual Listing and Administrative Fees
    Comments due:  July 12, 2005
    Comments received are available for this notice.

    SR-NASD-2005-58
    34-52352 Aug. 26, 2005 Order Approving Proposed Rule Change and Amendment No. 1 Relating to the Reporting of Data to Clearing Firms by Correspondent Firms
    34- 52059 Jul. 19, 2005 Notice of Filing of Proposed Rule Change and Amendment No. 1 Relating to the Reporting of Data to Clearing Firms by Correspondent Firms
    Comments due:  August 16, 2005
    Comments received are available for this notice.

    SR-NASD-2005-057
    34-52526 Sep. 29, 2005 Order Approving Proposed Rule Change Relating to Summary Orders in the Nasdaq Market Center
    34-52303 Aug. 18, 2005 Notice of Filing of Proposed Rule Change Relating to Summary Orders in the Nasdaq Market Center
    Comments due:  September 15, 2005

    SR-NASD-2005-056
    34-52148 Jul. 28, 2005 Order Approving Proposed Rule Change and Amendment No. 1 thereto Eliminating the Directed Order Process in the Nasdaq Market Center
    34-51668 May 9, 2005 Notice of Filing of Proposed Rule Change, and Amendment No. 1 thereto, Eliminating the Directed Order Process in The Nasdaq Market Center

    SR-NASD-2005-054
    34-51741 May 25, 2005 Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to Certain Amendments to the Restated Certificate of Incorporation and the By-Laws of The Nasdaq Stock Market, Inc.
    34-51626 Apr. 28, 2005 Notice of Filing of Proposed Rule Change Relating to Certain Amendments to the Restated Certificate of Incorporation and the By-Laws of The Nasdaq Stock Market, Inc.
    Comments due:  May 25, 2005
    * Click to submit comments on SR-NASD-2005-054

    SR-NASD-2005-053
    34-51688 May 12, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay Implementation Date of Revisions to the Series 4 Examination Program
    Comments due:  June 9, 2005

    SR-NASD-2005-052
    34-51931 Jun. 28, 2005 Order Approving Proposed Rule Change and Amendments No. 1 and No. 2 Thereto Relating to Honorarium for Arbitrators Deciding Discovery-related Motions
    34-51693 May 12, 2005 Notice of Filing of Proposed Rule Change and Amendments No. 1 and No. 2 Thereto Relating to Honorarium for Arbitrators Deciding Discovery-related Motions
    Comments due:  June 9, 2005
    Comments received are available for this notice.

    SR-NASD-2005-051
    34-52377 Sep. 2, 2005 Order Approving Proposed Rule Change to Create an Enterprise License Fee for the TotalView Entitlement
    34-51869 Jun. 17, 2005 Notice of Filing of Proposed Rule Change and Amendment No. 1 thereto to Create an Enterprise License Fee for the TotalView Entitlement
    Comments due:  July 19, 2005
    Comments received are available for this notice.

    SR-NASD-2005-050
    34-51522 Apr. 11, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Nasdaq Opening Process for Nasdaq-Listed Stocks
    Comments due:  May 13, 2005

    SR-NASD-2005-049
    34-51630 Apr. 28, 2005 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Modify the Pricing for Non-NASD Members Using Nasdaq's Brut Facility
    Comments due:  May 27, 2005

    SR-NASD-2005-048
    34-51599 Apr. 22, 2005 Notice of Filing and and Immediate Effectiveness of Proposed Rule Change to Modify Pricing for NASD Members Using Nasdaq's Brut Facility
    Comments due:  May 19, 2005

    SR-NASD-2005-046
    34-52658 Oct. 24, 2005 Order Approviing Proposed Rule Change and Amendment Nos. 1 and 2 thereto Amending the Arbitration Fees Applicable to Certain Statutory Employment Discrimination Claims
    34-51921 Jun. 24, 2005 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 thereto Amending the Arbitration Fees Applicable to Certain Statutory Employment Discrimination Claims
    Comments due:  July 21, 2005
    Comments received are available for this notice.

    SR-NASD-2005-045
    34-51526 Apr. 12, 2005 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Delivery of Customer Agreements Containing Predispute Arbitration Clauses
    Comments due:  May 10, 2005

    SR-NASD-2005-044
    34-51511 Apr. 7, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to NASD Rules 4510(a) and 4520(a) to Clarify Rule Language Regarding Entry and Application Fees for Issuers Listed on a National Securities Exchange That Transfer Their Listing to Nasdaq
    Comments due:  May 6, 2005

    SR-NASD-2005-043
    34-51644 May 2, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to an Exemption from the Research Analyst Qualification Examination for Certain Associated Persons Employed by Non-Member Foreign Affiliates Who Contribute to the Preparation of Member Research Reports
    File No.:  SR-NYSE-2005-25
    Comments due:  May 27, 2005

    SR-NASD-2005-042
    34-51583 Apr. 20, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Fees for Non-Members Using the New Nasdaq Workstation
    Comments due:  May 17, 2005

    SR-NASD-2005-041
    34-51581 Apr. 20, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Fees for Members Using the New Nasdaq Workstation
    Comments due:  May 17, 2005

    SR-NASD-2005-040
    34-51520 Apr. 11, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Establishing a Pilot Period to Increase Position and Exercise Limits for Equity Options and Establishing a Reverse Collar Hedge Exemption
    Comments due:  May 5, 2005

    SR-NASD-2005-039
    34-51862 Jun. 16, 2005 Order Approving Proposed Rule Change to Incorporate the Brut System Book Feed Into the TotalView Entitlement
    34-51683 May 11, 2005 Notice of Filing of Proposed Rule Change to Incorporate the Brut System Book Feed Into the TotalView Entitlement
    Comments due:  June 7, 2005

    SR-NASD-2005-038
    34-51498 Apr. 6, 2005 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Modify the Pricing for Non-NASD Members Using Nasdaq's Brut Facility
    Comments due:  May 4, 2005

    SR-NASD-2005-037
    34-51757 May 27, 2005 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto to Modify Certain Fees for Connecting to the Nasdaq Market Center and Nasdaq’s Brut Facility for Non-Members
    Comments due:  June 28, 2005

    SR-NASD-2005-036
    34-51756 May 27, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Modify Certain Fees for Connecting to the Nasdaq Market Center and Nasdaq’s Brut Facility
    Comments due:  June 28, 2005

    SR-NASD-2005-035
    34-51499 Apr. 6, 2005 Notice of Filing and and Immediate Effectiveness of Proposed Rule Change to Modify Pricing for NASD Members Using the Nasdaq Market Center and Nasdaq's Brut Facility
    Comments due:  May 4, 2005

    SR-NASD-2005-034
    34-51449 Mar. 30, 2005 Notice of Filing and and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Provide Limited Compensation for Losses Due to Malfunctions of the Order-Execution Systems of the Nasdaq Market Center or Nasdaq's Brut Facility
    Comments due:  April 27, 2005

    SR-NASD-2005-033
    34-51658 May 5, 2005 Order Granting Approval of Proposed Rule Change Relating to Taping Rule “Opt Out” and Exemption Provisions
    34-51434 Mar. 24, 2005 Notice of Filing of Proposed Rule Change Relating to Taping Rule “Opt Out” and Exemption Provisions
    Comments due:  April 25, 2005

    SR-NASD-2005-032
    34-52009 Jul. 11, 2005 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto, to Provide Written Explanations in Arbitration Awards Upon the Request of Customers, or of Associated Persons in Industry Controversies
    Comments due:  August 5, 2005
    Comments received are available for this notice.
    * Click to submit comments on SR-NASD-2005-032

    SR-NASD-2005-031
    34-51386 Mar. 16, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Modifications to the Nasdaq Opening Process for Nasdaq-Listed Stocks
    Comments due:  April 13, 2005

    SR-NASD-2005-030
    34-52544 Sep. 30, 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 Relating to the Proposed Uniform Branch Office Registration Form ("Form BR") and Amendments to the Uniform Application for Securities Industry Registration or Transfer ("Form U4") and the Uniform Termination Notice for Securities Industry Registration ("Form U5")
    34-51742 May 25, 2005 Notice of Filing of Proposed Rule Change and Amendment No. 1 thereto Relating to Proposed Uniform Branch Office Registration Form ("Form BR") and Amendments to the Uniform Application for Securities Industry Registration or Transfer ("Form U4") and the Uniform Termination Notice for Securities Industry Registration ("Form U5")
    Comments due:  June 23, 2005
    Comments received are available for this notice.

    SR-NASD-2005-029
    34-51382 Mar. 16, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Modifications to the Nasdaq Opening Process For Nasdaq-Listed Stocks
    Comments due:  April 13, 2005

    SR-NASD-2005-028
    34-51323 Mar. 4, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Discontinuation of the Nasdaq PostData Pilot Program
    Comments due:  April 4, 2005

    SR-NASD-2005-027
    34-51278 Feb. 28, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Clarifying Members' Obligations to Report Cancelled Trades
    Comments due:  March 28, 2005

    SR-NASD-2005-026
    34-51611 Apr. 26, 2005 Order Approving Proposed Rule Change Relating to TRACE Market Data Fees
    34-51336 Mar. 9, 2005 Notice of Filing of Proposed Rule Change Relating to TRACE Market Data Fees
    Comments due:  April 6, 2005
    Comments received are available for this notice.

    SR-NASD-2005-025
    34-51216 Feb. 16, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 4 Examination Program
    Comments due:  March 16, 2005

    SR-NASD-2005-024
    34-51748 May 26, 2005 Order Approving Proposed Rule Change and Amendment No. 1 Relating to Dissemination of the Underlying Index Value for Portfolio Depository Receipts and Index Fund Shares
    34-51559 Apr. 15, 2005 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Make Clear that the Underlying Index Value for Portfolio Depository Receipts and Index Fund Shares Must Be Disseminated Widely by an Appropriate Service
    Comments due:  May 12, 2005

    SR-NASD-2005-023
    34-52045 Jul. 15, 2005 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Representation in Arbitration and Mediation
    Comments due:  August 11, 2005
    Comments received are available for this notice.
    * Click to submit comments on SR-NASD-2005-023

    SR-NASD-2005-022
    34-51240 Feb. 23, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Changes by the National Association of Securities Dealers, Inc. to Provide an Exemption from the Research Analyst Qualification Examination for Certain Associated Persons Who Prepare Technical Research Reports and the New York Stock Exchange, Inc. Relating to an Alternative Qualification Standard for the Research Analyst Qualification Examination Requirement for Technical Analysts
    File Nos.: SR-NASD-2005-022 and SR-NYSE-2005-12
    Comments due:  March 24, 2005
    Comments received are available for this notice.

    SR-NASD-2005-021
    34-51187 Feb. 10, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Guidance Regarding Members’ Regulatory Transaction Fees
    Comments due:  March 15, 2005

    SR-NASD-2005-020
    34-51225 Feb. 17, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. to Modify Pricing for Non-Members Using Nasdaq's Brut Facility
    Comments due:  March 18, 2005

    SR-NASD-2005-019
    34-51224 Feb. 17, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. to Modify Pricing for NASD Members Using the Nasdaq Market Center and Nasdaq's Brut Facility
    Comments due:  March 18, 2005

    SR-NASD-2005-018
    34-51221 Feb. 17, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit Foreign Private Issuers to Follow Certain Home Country Practices
    Comments due:  March 17, 2005
    Comments received are available for this notice.

    SR-NASD-2005-017
    34-51233 Feb. 18, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 thereto Regarding Modifications to the Nasdaq Opening Process For Nasdaq-Listed Stocks
    Comments due:  March 18, 2005

    SR-NASD-2005-016
    34-51171 Feb. 9, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for the Nasdaq Information Exchange Protocol
    Comments due:  March 9, 2005

    SR-NASD-2005-015
    34-51215 Feb. 16, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 55 Examination Program
    Comments due:  March 16, 2005

    SR-NASD-2005-014
    34-51214 Feb. 16, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 11 Examination Program
    Comments due:  March 16, 2005

    SR-NASD-2005-013
    34-51609 Apr. 26, 2005 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Create a Uniform Pricing Structure for the Nasdaq Market Center
    Comments due:  May 23, 2005
    Comments received are available for this notice.

    SR-NASD-2005-011
    34-52786 Nov. 16, 2005 Order Approving Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto to Limit the Eligibility for Quotation on the OTCBB of the Securities of an Issuer That Is Repeatedly Delinquent in Its Periodic Reporting Obligations
    34-52291 Aug. 18, 2005 Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto to Limit the Eligibility for Quotation on the OTCBB of the Securities of an Issuer That Is Repeatedly Delinquent In Its Periodic Reporting Obligations
    Comments due:  September 14, 2005
    Comments received are available for this notice.

    SR-NASD-2005-010
    34-51223 Feb. 17, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 to Modify Restrictions on Computer-Generated Quoting
    Comments due:  March 18, 2005

    SR-NASD-2005-007
    34-51325 Mar. 7, 2005 Order Approving Proposed Rule Change Relating to a Proposal to Adopt a New IM-10308 on Mediators Serving as Arbitrators
    34-51097 Jan. 28, 2005 Notice of Filing of Proposed Rule Change Relating to a Proposal to Adopt a New IM-10308 on Mediators Serving as Arbitrators
    Comments due:  February 24, 2005
    Comments received are available for this notice.

    SR-NASD-2005-006
    34-52192 Aug. 2, 2005 Order Approving Proposed Rule Change and Amendments Nos. 1 and 2 thereto to Require Semi-Annual Financial Reporting by Foreign Private Issuers
    34-51905 Jun. 22, 2005 Notice of Filing of Proposed Rule Change and Amendments Nos. 1 and 2 Thereto to Require Semi-Annual Financial Reporting by Foreign Private Issuers

    SR-NASD-2005-004
    34-51605 Apr. 25, 2005 Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Annual Compliance Meetings
    34-51368 Mar. 14, 2005 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Annual Compliance Meetings
    Comments due:  April 11, 2005
    Comments received are available for this notice.

    SR-NASD-2005-003
    34-51420 Mar. 23, 2005 Order Granting Approval to Proposed Rule Change to Amend Rule 4350(n) and IM-4350-7 to Conform the Time Frame for the Disclosure of a Waiver to a Company’s Code of Conduct to the Time Frame Required for Similar Disclosure by the Commission’s Form 8-K
    34-51197 Feb. 14, 2005 Notice of Filing of Proposed Rule Change to Amend Rule 4350(n) and IM-4350-7 to Conform the Time Frame for the Disclosure of a Waiver to a Company’s Code of Conduct to the Time Frame Required for Similar Disclosure by the Commission’s Form 8-K
    Comments due:  March 11, 2005

    SR-NASD-2005-002
    34-51170 Feb. 9, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Establish Fees for Connectivity to the Nasdaq Market Center
    Comments due:  March 9, 2005

    SR-NASD-2005-001
    34-51025 Jan. 11, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 3360 on Short Interest Reporting
    Comments due:  February 9, 2005

     

    http://www.sec.gov/rules/sro/nasd/nasdarchive/nasdarchive2005.shtml


    Modified: 09/17/2012