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NASD Rulemaking Archive: 2007

As of July 30, 2007, NASD is now known as Financial Industry Regulatory Authority (FINRA) and new rule proposals will be listed under FINRA.

We encourage the public to submit comments on the following 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 2007

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-NASD-2007-035
34-56972 Dec. 14, 2007 Order Granting Approval of a Proposed Rule Change Related to Mandated Use of an Automated Liability Notification System
See also:  Notice: Rel. No. 34-56639

SR-NASD-2007-044
34-56916 Dec. 6, 2007 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Expand the Class of Entities Permitted to Use the Delta Hedging Exemption from Equity Options Position Limits
See also:  Notice: Rel. No. 34-56207

SR-NASD-2007-031
34-56754 Nov. 6, 2007 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Amend NASD Rule 7001E to Increase Percentage of Market Data Revenue Shared with NASD/NYSE TRF Participants
Comments due:  December 5, 2007
See also:  Order: Rel. No. 34-57763
Comments received are available for this notice.

SR-NASD-2007-043
34-56752 Nov. 6, 2007 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Amend NASD Rule 7001C to Increase Percentage of Market Data Revenue Shared with NASD/NSX TRF Participants
Comments due:  December 5, 2007
See also:  Order: Rel. No. 34-57764
Comments received are available for this notice.

SR-NASD-2005-100
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
See also:  Notice: Rel. No. 34-67867
Comments received are available for this notice.

SR-NASD-2007-056
34-56653 Oct. 12, 2007 Order Approving Proposed Rule Change to Establish a Membership Waive-In Process for Certain NYSE Member Organizations
See also:  Notice: Rel. No. 34-56347

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
See also:  Notice: Rel. No. 34-53598

SR-NASD-2007-035
34-56639 Oct. 11, 2007 Notice of Filing of Proposed Rule Change Related to Mandated Use of an Automated Liability Notification System [Corrected to Conform to Federal Register Version]
Comments due:  November 7, 2007
See also:  Order: Rel. No. 34-56972
Third Quarter

SR-NASD-2006-109
34-56540 Sep. 26, 2007 Order Approving Proposed Rule Change as modified by Amendment Nos. 1 and 2 Thereto Relating to Representation of Parties in Arbitration and Mediation
See also:  Notice: Rel. No. 34-55604; Request for Immediate Stay of Effective Date of Approval Order; Order Denying Stay: Rel. No. 34-57028
Comments received are available for this notice.

SR-NASD-2007-055
34-56504 Sep. 24, 2007 Order Approving Proposed Rule Change Relating to Interpretative Material 9216, Violations Appropriate for Disposition Under Plan Pursuant to SEC Rule 19d-1(c)(2)
See also:  Notice: Rel. No. 34-56175

SR-NASD-2004-183
34-56375A Sep. 14, 2007 Notice of Filing of Amendment Nos. 3 and 4 and Order Granting Accelerated Approval of the Proposed Rule, as Amended, Related to Sales Practice Standards and Supervisory Requirements for Transactions in Variable Annuities (Correction)
See also:  Notice/Order: Rel. No. 34-56375; Notices: Rel. Nos. 34-54023; 34-52191; Correction Notice: Rel. No. 34-52046A

SR-NASD-2004-183
34-56375 Sep. 7, 2007 Notice of Filing of Amendment Nos. 3 and 4 and Order Granting Accelerated Approval of the Proposed Rule, as Amended, Related to Sales Practice Standards and Supervisory Requirements for Transactions in Deferred Variable Annuities
Comments due:  October 4, 2007
See also:  Notice/Order: Rel. No. 34-56375A; Notices: Rel. Nos. 34-54023; 34-52191; Correction Notice: Rel. No. 34-52046A
Comments received are available for this notice.

SR-NASD-2007-056
34-56347 Aug. 31, 2007 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Establish a Membership Waive-In Process for Certain NYSE Member Organizations
Comments due:  October 2, 2007
See also:  Order: Rel. No. 34-56653

SR-NASD-2007-051
34-56314 Aug. 23, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASD Rule 7002B to Establish Fees for the Transfer of Transaction Fees Through the NASD/Nasdaq Trade Reporting Facility
Comments due:  September 20, 2007

SR-NASD-2007-041
34-56297 Aug. 21, 2007 Notice of Filing of Proposed Rule Change to Amend the Minimum Price-Improvement Standards Set Forth in NASD IM 2110-2, Trading Ahead of Customer Limit Order
Comments due:  September 18, 2007
See also:  Order: Rel. No. 34-58532; Notice: Rel. No. 34-58114
Comments received are available for this notice.

SR-NASD-2007-049
34-56285 Aug. 17, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASD Rule 3013 and Accompanying Interpretive Material 3013
Comments due:  September 14, 2007
Comments received are available for this notice.

SR-NASD-2007-047
34-56279 Aug. 17, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Certain Rules in Light of Amendments to SEC Rule 10a-1 and Regulation SHO
Comments due:  September 14, 2007

SR-NASD-2007-044
34-56207 Aug. 6, 2007 Notice of Filing of Proposed Rule Change to Expand the Class of Entities Permitted to Use the Delta Hedging Exemption from Equity Options Position Limits
Comments due:  September 4, 2007
See also:  Order: Rel. No. 34-56916
Comments received are available for this notice.

SR-NASD-2007-034
34-56179 Aug. 1, 2007 Order Approving Proposed Rule Change as Modified by Amendment No. 1 Creating NASD Rule 1160 (Firm Contact Information) Regarding the Reporting and Annual Review of Designated Contact Information to NASD
See also:  Notice: Rel. No. 34-55810
Comments received are available for this notice.

SR-NASD-2007-055
34-56175 Jul. 31, 2007 Notice of Filing of Proposed Rule Change Relating to Interpretative Material 9216, Violations Appropriate for Disposition Under Plan Pursuant to SEC Rule 19d-1(c)(2)
Comments due:  August 28, 2007
See also:  Order: Rel. No. 34-56504

SR-NASD-2006-054
34-56147 Jul. 26, 2007 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Incorporate Certain NYSE Rules Relating to Member Firm Conduct
Comments due:  August 22, 2007

SR-NASD-2007-053
34-56146 Jul. 26, 2007 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Restated Certificate of Incorporation of National Association of Securities Dealers, Inc.
Comments due:  August 22, 2007

SR-NASD-2007-023
34-56145 Jul. 26, 2007 Order Approving Proposed Rule Change to Amend the By-Laws of NASD to Implement Governance and Related Changes to Accommodate the Consolidation of the Member Firm Regulatory Functions of NASD and NYSE Regulation, Inc.
See also:  Notice: Rel. No. 34-55495; Amended Order: Rel. No. 34-56145A

SR-NASD-2007-042
34-56124 Jul. 24, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation of NASD Interpretive Material 2210-4, which Requires Certain Member Firms to Provide a Hyperlink to www.nasd.com
Comments due:  August 22, 2007

SR-NASD-2007-045
34-56108 Jul. 19, 2007 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Extending the Portfolio Margin Pilot Program
Comments due:  August 17, 2007

SR-NASD-2007-039
34-56103 Jul. 19, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay Implementation of Certain Changes to the Manning Rule
Comments due:  August 15, 2007
Comments received are available for this notice.

SR-NASD-2007-021
34-56039 Jul. 10, 2007 Notice of Filing of Proposed Rule Change to Amend the Definition of Public Arbitrator
Comments due:  August 7, 2007
See also:  Order: Rel. No. 34-57492
Comments received are available for this notice.

SR-NASD-2007-038
34-56029 Jul. 9, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Customer and the Industry Codes of Arbitration Procedure to Clarify NASD’s Jurisdiction Concerning Members of Other Self-Regulatory Organizations
Comments due:  August 3, 2007

SR-NASD-2007-046
34-56007 Jul. 3, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Allow NASD Members to Use the NASD/Nasdaq Trade Reporting Facility to Process Transaction Fees Charged by One Member to Another Member
Comments due:  August 1, 2007

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

SR-NASD-2007-028
34-56003 Jul. 2, 2007 Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Order Audit Trail System
See also:  Notice: Rel. No. 34-55806
Second Quarter

SR-NASD-2007-040
34-55962 Jun. 26, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Clearing Reports for Previously Executed Trades
Comments due:  July 24, 2007

SR-NASD-2007-037
34-55916 Jun. 15, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASD Rules to Extend the Closing Time of the NASD/NYSE Trade Reporting Facility to 8:00 p.m.
Comments due:  July 13, 2007

SR-NASD-2007-027
34-55886 Jun. 8, 2007 Order Approving Proposed Rule Change Relating to SEC Section 31-Related Fees
See also:  Notice: Rel. No. 34-55697
Comments received are available for this notice.

SR-NASD-2007-036
34-55879 Jun. 8, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Technical Amendment to New NASD Rule 2342 (SIPC Information)
Comments due:  July 5, 2007

SR-NASD-2006-074
34-55878 Jun. 7, 2007 Order Approving Proposed Rule Change Relating to the Application of NASD Rule 2790 to Issuer-Directed Securities
See also:  Notice: Rel. No. 34-55128
Comments received are available for this notice.

SR-NASD-2007-033
34-55819 May 25, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Extension of NASD’s Authority Under the Cease and Desist Pilot Program
Comments due:  June 25, 2007

SR-NASD-2007-034
34-55810 May 24, 2007 Notice of Filing of Proposed Rule Change Creating NASD Rule 1160 (Firm Contact Information) Regarding the Reporting and Annual Review of Designated Contact Information to NASD
Comments due:  June 21, 2007
See also:  Order: Rel. No. 34-56179
Comments received are available for this notice.

SR-NASD-2007-028
34-55806 May 23, 2007 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Order Audit Trail System
Comments due:  June 21, 2007
See also:  Order: Rel. No. 34-56003

SR-NASD-2006-044
34-55765 May 15, 2007 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Interpretive Material to NASD Rule 3060 to Require Members to Adopt Policies and Procedures Addressing Business Entertainment
Comments due:  June 12, 2007
Comments received are available for this notice.

SR-NASD-2007-032
34-55759 May 15, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding NASD’s Exemptive Authority Relating to Regulation NMS Trade Reporting Requirements
Comments due:  June 12, 2007

SR-NASD-2007-030
34-55745 May 11, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trade Reporting Obligations for Transactions in Foreign Equity Securities
Comments due:  June 7, 2007
Comments received are available for this notice.

SR-NASD-2006-124
34-55737 May 10, 2007 Notice of Filing of Amendment Nos. 1 and 2 to, and Order Granting Accelerated Approval of, a Proposed Rule Change as Modified by Amendment Nos. 1 and 2 to Require the Provision of Certain Information About the Securities Investor Protection Corporation to Customers
Comments due:  June 6, 2007
See also:  Notice: Rel. No. 34-54871
Comments received are available for this notice.

SR-NASD-2007-029
34-55717 May 7, 2007 Notice of Filing of Proposed Rule Change Relating to Access Fee Display Requirements for the OTCBB
Comments due:  June 1, 2007
Comments received are available for this notice.

SR-NASD-2007-026
34-55703 May 3, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Implement Technical Changes to the Customer, Industry and Mediation Codes
Comments due:  May 31, 2007

SR-NASD-2007-027
34-55697 May 2, 2007 Notice of Filing of Proposed Rule Change to NASD By-Laws Relating to SEC Section 31-Related Fees
Comments due:  May 30, 2007
See also:  Order: Rel. No. 34-55886
Comments received are available for this notice.

SR-NASD-2003-141
34-55638 Apr. 16, 2007 Order Granting Approval to Proposed Rule Change Relating to Additional Mark-Up Policy for Transactions in Debt Securities, Except Municipal Securities
See also:  Notices: Rel. Nos. 34-54799, 34-51338
Comments received are available for this notice.

SR-NASD-2007-022
34-55617 Apr. 11, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Technical Amendments to the Code of Mediation Procedure
Comments due:  May 8, 2007

SR-NASD-2006-109
34-55604 Apr. 9, 2007 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Representation of Parties in Arbitration and Mediation
Comments due:  May 4, 2007
See also:  Order: Rel. No. 34-56540; Request for Immediate Stay of Effective Date of Approval Order; Order Denying Stay: Rel. No. 34-57028
Comments received are available for this notice.
First Quarter

SR-NASD-2007-018
34-55538 Mar. 27, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NASD Rule 7000 Series to Delete References to Systems and Services that Will No Longer Be Provided by NASD
Comments due:  April 24, 2007

SR-NASD-2007-025
34-55526 Mar. 26, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt New NASD Rule 7000E Series Relating to Fees and Credits for the NASD/NYSE Trade Reporting Facility
Comments due:  April 23, 2007

SR-NASD-2007-024
34-55518 Mar. 23, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Portfolio Margin
Comments due:  April 19, 2007

SR-NASD-2007-023
34-55495 Mar. 20, 2007 Notice of Filing of Proposed Rule Change to Amend the By-Laws of NASD to Implement Governance and Related Changes to Accommodate the Consolidation of the Member Firm Regulatory Functions of NASD and NYSE Regulation, Inc.
Comments due:  April 16, 2007
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-56145; Amended Order: Rel. No. 34-56145A
Comments received are available for this notice.

SR-NASD-2007-013
34-55471 Mar. 14, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Portfolio Margin
Comments due:  April 10, 2007

SR-NASD-2007-019
34-55440 Mar. 9, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise Effective Date of Amendments to NASD’s Order Audit Trail System Rules
Comments due:  April 9, 2007

SR-NASD-2007-015
34-55412 Mar. 7, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASD Rules 1012 (General Provisions) and 1013 (New Member Application and Interview) to Require an Applicant for Membership to Submit an Application in the Manner Prescribed by NASD
Comments due:  April 3, 2007

SR-NASD-2007-020
34-55410 Mar. 6, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise the Implementation Date of Previously Proposed Amendments to NASD Rules 4632(f) and 6130(e)
Comments due:  April 3, 2007

SR-NASD-2007-004
34-55409 Mar. 6, 2007 Order Approving Proposed Rule Change as Modified by Amendment No. 1 to Amend NASD Rule 7010(k) Relating to Transaction Reporting and Compliance Engine Transaction Data
See also:  Notice: Rel. No. 34-55180

SR-NASD-2006-131
34-55406 Mar. 6, 2007 Order Approving Proposed Rule Changes to Increase the Frequency of the Short Interest Reporting Requirements
Additional File Nos:  SR-NYSE-2006-111; SR-Amex-2007-05
See also:  Notice: Rel. No. 34-55170

SR-NASD-2007-016
34-55393 Mar. 2, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASD Rules 4632C and 4632D to Reflect "As/Of" Trade Reporting and the Automated Reporting of Trade Cancellations to the NASD/NSX and NASD/BSE Trade Reporting Facilities
Comments due:  March 30, 2007

SR-NASD-2007-017
34-55379 Mar. 1, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Alternative Display Facility Quotation Update Fee
Comments due:  March 28, 2007

SR-NASD-2007-006
34-55360 Feb. 27, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Filing Documents Pursuant to the Corporate Financing Rule
Comments due:  March 26, 2007

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
See also:  Notice: Rel. No. 34-54705

SR-NASD-2007-014
34-55346 Feb. 26, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Conforming Changes to the Rules Relating to the NASD/NSX TRF, NASD/BSE TRF, and NASD/NYSE TRF Consistent with the New Requirements of Regulation NMS
Comments due:  March 26, 2007

SR-NASD-2007-011
34-55325 Feb. 21, 2007 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to a New NASD Trade Reporting Facility Established in Conjunction with NYSE Market, Inc.
Comments due:  March 20, 2007

SR-NASD-2007-010
34-55283 Feb. 12, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASD Rule 7010 to Modify Pricing for NASD Members Using ITS/CAES System and Inet Facility
Comments due:  March 13, 2007

SR-NASD-2007-003
34-55280 Feb. 12, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fees and Credits for the NASD/BSE Trade Reporting Facility
Comments due:  March 13, 2007

SR-NASD-2007-012
34-55274 Feb. 12, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Implement Certain Approved NASD Rule Changes Upon the Operation of the Nasdaq Stock Market LLC for Non-Nasdaq Exchange-Listed Securities
Comments due:  March 13, 2007

SR-NASD-2007-009
34-55245 Feb. 5, 2007 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Extension of NASD’s Short Sale Rule Contained in Rule 5100 and Short Sale Standard Contained in IM-5100
Comments due:  March 5, 2007
Comments received are available for this notice.

SR-NASD-2007-007
34-55225 Feb. 1, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Program that Increases Position and Exercise Limits for Certain Equity Options
Comments due:  March 5, 2007

SR-NASD-2007-008
34-55206 Jan. 31, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Periods for NASD Rules Governing Multiple MPIDs on the Trade Reporting Facilities and on the Alternative Display Facility
Comments due:  February 27, 2007

SR-NASD-2007-005
34-55181 Jan. 26, 2007 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Operate the Alternative Display Facility on a Permanent Basis
Comments due:  February 23, 2007

SR-NASD-2007-004
34-55180 Jan. 26, 2007 Notice of Filing of a Proposed Rule Change to Amend NASD Rule 7010(k) Relating to Transaction Reporting and Compliance Engine Transaction Data
Comments due:  February 23, 2007
See also:  Order: Rel. No. 34-55409

SR-NASD-2006-131
34-55170 Jan. 26, 2007 Notice of Filing of Proposed Rule Changes to Increase the Frequency of the Short Interest Reporting Requirements
Additional File Nos:   SR-NYSE-2006-111; SR-Amex-2007-05
Comments due:  February 22, 2007
See also:  Order: Rel. No. 34-55406
Comments received are available for this notice.

SR-NASD-2003-158, SR-NASD-2004-011
34-55158 Jan. 24, 2007 Order Approving Proposed Rule Change and Amendments 1, 2, 3, and 4 to Amend NASD Arbitration Rules for Customer Disputes and Notice of Filing and Order Granting Accelerated Approval of Amendments 5, 6, and 7 thereto; Order Approving Proposed Rule Change and Amendments 1, 2, 3, and 4 to Amend NASD Arbitration Rules for Industry Disputes and Notice of Filing and Order Granting Accelerated Approval of Amendments 5, 6, and 7 thereto
Comments due:  February 21, 2007
See also: SR-NASD-2003-158:  Notice: Rel. No. 34-51856 and comments received
See also: SR-NASD-2004-011:  Notice: Rel. No. 34-51857 and comments received

SR-NASD-2006-137
34-55129 Jan. 18, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Pricing for NASD Members Using ITS/CAES System and Inet Facility
Comments due:  February 16, 2007

SR-NASD-2006-074
34-55128 Jan. 18, 2007 Notice of Filing of Proposed Rule Change Relating to the Application of NASD Rule 2790 to Issuer-Directed Securities
Comments due:  February 15, 2007
See also:  Order: Rel. No. 34-55878
Comments received are available for this notice.

SR-NASD-2003-168
34-55127 Jan. 18, 2007 Notice of Filing of Amendment No. 6 and Order Granting Accelerated Approval to Proposed Rule Change Relating to the Release of Information Through NASD’s BrokerCheck
Comments due:  February 15, 2007
See also:  Notices: Rel. Nos. 34-54053; 34-51915

SR-NASD-2006-101
34-55108 Jan. 16, 2007 Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Provide for the Payment of a $200 Honorarium per Case for Each Arbitrator who Considers Contested Motions for the Issuance of Subpoenas
See also:  Notice: Rel. No. 34-54857

SR-NASD-2007-002
34-55101 Jan. 12, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Conforming Changes to the NASD/Nasdaq Trade Reporting Facility Rules Consistent with the New Requirements of Regulation NMS
Comments due:  February 9, 2007
Comments received are available for this notice.

SR-NASD-2007-001
34-55088 Jan. 11, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Alternative Display Facility Rules
Comments due:  February 9, 2007

SR-NASD-2006-136
34-55078 Jan. 10, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Technical and Grammatical Corrections to Rule 10308
Comments due:  February 7, 2007

SR-NASD-2006-113
34-55072 Jan. 9, 2007 Notice of Filing of Proposed Rule Changes to Amend NYSE Rules 472 and 344, and NASD Rules 1050 and 2711 Relating to Research Analyst Conflicts of Interest
Additional Nos.:   SR-NYSE-2006-78
Comments due:  March 5, 2007
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
See also:  Notices: Rel. Nos. 34-54134 and 34-51981
Comments received are available for this notice.


NASD File Number List
Release No. Date Details

SR-NASD-2007-056
34-56653 Oct. 12, 2007 Order Approving Proposed Rule Change to Establish a Membership Waive-In Process for Certain NYSE Member Organizations
34-56347 Aug. 31, 2007 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Establish a Membership Waive-In Process for Certain NYSE Member Organizations
Comments due:  October 2, 2007

SR-NASD-2007-055
34-56504 Sep. 24, 2007 Order Approving Proposed Rule Change Relating to Interpretative Material 9216, Violations Appropriate for Disposition Under Plan Pursuant to SEC Rule 19d-1(c)(2)
34-56175 Jul. 31, 2007 Notice of Filing of Proposed Rule Change Relating to Interpretative Material 9216, Violations Appropriate for Disposition Under Plan Pursuant to SEC Rule 19d-1(c)(2)

SR-NASD-2006-054
34-56147 Jul. 26, 2007 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Incorporate Certain NYSE Rules Relating to Member Firm Conduct
Comments due:  August 22, 2007

SR-NASD-2007-053
34-56146 Jul. 26, 2007 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Restated Certificate of Incorporation of National Association of Securities Dealers, Inc.
Comments due:  August 22, 2007

SR-NASD-2007-052
34-57786 May 6, 2008 Order Approving Proposed Rule Change as Modified by Amendment No. 1, Relating to Amendments to the NASD Rule 9700 Series to Streamline the Procedural Rules Applicable to General Grievances Related to FINRA Automated Systems
34-57504 Mar. 14, 2008 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to the NASD Rule 9700 Series To Streamline the Procedural Rules Applicable to General Grievances Related to FINRA Automated Systems
Comments due:  April 11, 2008

SR-NASD-2007-051
34-56314 Aug. 23, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASD Rule 7002B to Establish Fees for the Transfer of Transaction Fees Through the NASD/Nasdaq Trade Reporting Facility
Comments due:  September 20, 2007

SR-NASD-2007-049
34-56285 Aug. 17, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASD Rule 3013 and Accompanying Interpretive Material 3013
Comments due:  September 14, 2007
Comments received are available for this notice.

SR-NASD-2007-047
34-56279 Aug. 17, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Certain Rules in Light of Amendments to SEC Rule 10a-1 and Regulation SHO
Comments due:  September 14, 2007

SR-NASD-2007-046
34-56007 Jul. 3, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Allow NASD Members to Use the NASD/Nasdaq Trade Reporting Facility to Process Transaction Fees Charged by One Member to Another Member
Comments due:  August 1, 2007

SR-NASD-2007-045
34-56108 Jul. 19, 2007 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Extending the Portfolio Margin Pilot Program
Comments due:  August 17, 2007

SR-NASD-2007-044
34-56916 Dec. 6, 2007 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Expand the Class of Entities Permitted to Use the Delta Hedging Exemption from Equity Options Position Limits
34-56207 Aug. 6, 2007 Notice of Filing of Proposed Rule Change to Expand the Class of Entities Permitted to Use the Delta Hedging Exemption from Equity Options Position Limits
Comments due:  September 4, 2007
Comments received are available for this notice.

SR-NASD-2007-043
34-57764 May 1, 2008 Order Approving Proposed Rule Change as Modified by Amendment No. 1 Thereto to Amend NASD Rule 7001C to Increase the Percentage of Market Data Revenue Shared with NASD/NSX TRF Participants
34-56752 Nov. 6, 2007 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Amend NASD Rule 7001C to Increase Percentage of Market Data Revenue Shared with NASD/NSX TRF Participants
Comments due:  December 5, 2007
Comments received are available for this notice.

SR-NASD-2007-042
34-56124 Jul. 24, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation of NASD Interpretive Material 2210-4, which Requires Certain Member Firms to Provide a Hyperlink to www.nasd.com
Comments due:  August 22, 2007

SR-NASD-2007-041
34-58532 Sep. 12, 2008 Order Approving Proposed Rule Change, as Modified by Amendment No. 2, to Amend the Minimum Price-Improvement Standards Set Forth in NASD Interpretive Material ("IM") 2110-2
34-58114 Jul. 7, 2008 Notice of Filing of Amendment No. 2 to Proposed Rule Change to Amend the Minimum Price-Improvement Standards Set Forth in NASD Interpretive Material (IM) 2110-2
Comments due:  August 4, 2008
34-56297 Aug. 21, 2007 Notice of Filing of Proposed Rule Change to Amend the Minimum Price-Improvement Standards Set Forth in NASD IM 2110-2, Trading Ahead of Customer Limit Order
Comments due:  September 18, 2007
Comments received are available for this notice.

SR-NASD-2007-040
34-55962 Jun. 26, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Clearing Reports for Previously Executed Trades
Comments due:  July 24, 2007

SR-NASD-2007-039
34-56103 Jul. 19, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay Implementation of Certain Changes to the Manning Rule
Comments due:  August 15, 2007
Comments received are available for this notice.

SR-NASD-2007-038
34-56029 Jul. 9, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Customer and the Industry Codes of Arbitration Procedure to Clarify NASD’s Jurisdiction Concerning Members of Other Self-Regulatory Organizations
Comments due:  August 3, 2007

SR-NASD-2007-037
34-55916 Jun. 15, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASD Rules to Extend the Closing Time of the NASD/NYSE Trade Reporting Facility to 8:00 p.m.
Comments due:  July 13, 2007

SR-NASD-2007-036
34-55879 Jun. 8, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Technical Amendment to New NASD Rule 2342 (SIPC Information)
Comments due:  July 5, 2007

SR-NASD-2007-035
34-56972 Dec. 14, 2007 Order Granting Approval of a Proposed Rule Change Related to Mandated Use of an Automated Liability Notification System
34-56639 Oct. 11, 2007 Notice of Filing of Proposed Rule Change Related to Mandated Use of an Automated Liability Notification System [Corrected to Conform to Federal Register Version]
Comments due:  November 7, 2007

SR-NASD-2007-034
34-56179 Aug. 1, 2007 Order Approving Proposed Rule Change as Modified by Amendment No. 1 Creating NASD Rule 1160 (Firm Contact Information) Regarding the Reporting and Annual Review of Designated Contact Information to NASD
34-55810 May 24, 2007 Notice of Filing of Proposed Rule Change Creating NASD Rule 1160 (Firm Contact Information) Regarding the Reporting and Annual Review of Designated Contact Information to NASD
Comments due:  June 21, 2007
Comments received are available for this notice.

SR-NASD-2007-033
34-55819 May 25, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Extension of NASD’s Authority Under the Cease and Desist Pilot Program
Comments due:  June 25, 2007

SR-NASD-2007-032
34-55759 May 15, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding NASD’s Exemptive Authority Relating to Regulation NMS Trade Reporting Requirements
Comments due:  June 12, 2007

SR-NASD-2007-031
34-57763 May 1, 2008 Order Approving Proposed Rule Change as Modified by Amendment Nos. 1, 2 and 3 thereto to Amend NASD Rule 7001E to Increase the Percentage of Market Data Revenue Shared with NASD/NYSE TRF Participants
34-56754 Nov. 6, 2007 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Amend NASD Rule 7001E to Increase Percentage of Market Data Revenue Shared with NASD/NYSE TRF Participants
Comments due:  December 5, 2007
Comments received are available for this notice.

SR-NASD-2007-030
34-55745 May 11, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trade Reporting Obligations for Transactions in Foreign Equity Securities
Comments due:  June 7, 2007
Comments received are available for this notice.

SR-NASD-2007-029
34-55717 May 7, 2007 Notice of Filing of Proposed Rule Change Relating to Access Fee Display Requirements for the OTCBB
Comments due:  June 1, 2007
Comments received are available for this notice.

SR-NASD-2007-028
34-56003 Jul. 2, 2007 Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Order Audit Trail System
34-55806 May 23, 2007 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Order Audit Trail System
Comments due:  June 21, 2007

SR-NASD-2007-027
34-55886 Jun. 8, 2007 Order Approving Proposed Rule Change Relating to SEC Section 31-Related Fees
34-55697 May 2, 2007 Notice of Filing of Proposed Rule Change to NASD By-Laws Relating to SEC Section 31-Related Fees
Comments due:  May 30, 2007
Comments received are available for this notice.

SR-NASD-2007-026
34-55703 May 3, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Implement Technical Changes to the Customer, Industry and Mediation Codes
Comments due:  May 31, 2007

SR-NASD-2007-025
34-55526 Mar. 26, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt New NASD Rule 7000E Series Relating to Fees and Credits for the NASD/NYSE Trade Reporting Facility
Comments due:  April 23, 2007

SR-NASD-2007-024
34-55518 Mar. 23, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Portfolio Margin
Comments due:  April 19, 2007

SR-NASD-2007-023
34-56145A May 30, 2008 Order Approving Proposed Rule Change To Amend the By-Laws of NASD To Implement Governance and Related Changes To Accommodate the Consolidation of the Member Firm Regulatory Functions of NASD and NYSE Regulation, Inc.
34-56145 Jul. 26, 2007 Order Approving Proposed Rule Change to Amend the By-Laws of NASD to Implement Governance and Related Changes to Accommodate the Consolidation of the Member Firm Regulatory Functions of NASD and NYSE Regulation, Inc.
34-55495 Mar. 20, 2007 Notice of Filing of Proposed Rule Change to Amend the By-Laws of NASD to Implement Governance and Related Changes to Accommodate the Consolidation of the Member Firm Regulatory Functions of NASD and NYSE Regulation, Inc.
Comments due:  April 16, 2007
Additional Materials:  Exhibit 5
Comments received are available for this notice.

SR-NASD-2007-022
34-55617 Apr. 11, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Technical Amendments to the Code of Mediation Procedure
Comments due:  May 8, 2007

SR-NASD-2007-021
34-57492 Mar. 13, 2008 Order Approving Proposed Rule Change to Amend the Definition of Public Arbitrator
34-56039 Jul. 10, 2007 Notice of Filing of Proposed Rule Change to Amend the Definition of Public Arbitrator
Comments due:  August 7, 2007
Comments received are available for this notice.

SR-NASD-2007-020
34-55410 Mar. 6, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise the Implementation Date of Previously Proposed Amendments to NASD Rules 4632(f) and 6130(e)
Comments due:  April 3, 2007

SR-NASD-2007-019
34-55440 Mar. 9, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise Effective Date of Amendments to NASD’s Order Audit Trail System Rules
Comments due:  April 9, 2007

SR-NASD-2007-018
34-55538 Mar. 27, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NASD Rule 7000 Series to Delete References to Systems and Services that Will No Longer Be Provided by NASD
Comments due:  April 24, 2007

SR-NASD-2007-017
34-55379 Mar. 1, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Alternative Display Facility Quotation Update Fee
Comments due:  March 28, 2007

SR-NASD-2007-016
34-55393 Mar. 2, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASD Rules 4632C and 4632D to Reflect "As/Of" Trade Reporting and the Automated Reporting of Trade Cancellations to the NASD/NSX and NASD/BSE Trade Reporting Facilities
Comments due:  March 30, 2007

SR-NASD-2007-015
34-55412 Mar. 7, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASD Rules 1012 (General Provisions) and 1013 (New Member Application and Interview) to Require an Applicant for Membership to Submit an Application in the Manner Prescribed by NASD
Comments due:  March 30, 2007

SR-NASD-2007-014
34-55346 Feb. 26, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Conforming Changes to the Rules Relating to the NASD/NSX TRF, NASD/BSE TRF, and NASD/NYSE TRF Consistent with the New Requirements of Regulation NMS
Comments due:  March 26, 2007

SR-NASD-2007-013
34-55471 Mar. 14, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Portfolio Margin
Comments due:  April 10, 2007

SR-NASD-2007-012
34-55274 Feb. 12, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Implement Certain Approved NASD Rule Changes Upon the Operation of the Nasdaq Stock Market LLC for Non-Nasdaq Exchange-Listed Securities
Comments due:  March 13, 2007

SR-NASD-2007-011
34-55325 Feb. 21, 2007 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to a New NASD Trade Reporting Facility Established in Conjunction with NYSE Market, Inc.
Comments due:  March 20, 2007

SR-NASD-2007-010
34-55283 Feb. 12, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASD Rule 7010 to Modify Pricing for NASD Members Using ITS/CAES System and Inet Facility
Comments due:  March 13, 2007

SR-NASD-2007-009
34-55245 Feb. 5, 2007 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Extension of NASD’s Short Sale Rule Contained in Rule 5100 and Short Sale Standard Contained in IM-5100
Comments due:  March 5, 2007
Comments received are available for this notice.

SR-NASD-2007-008
34-55206 Jan. 31, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Periods for NASD Rules Governing Multiple MPIDs on the Trade Reporting Facilities and on the Alternative Display Facility
Comments due:  February 27, 2007

SR-NASD-2007-007
34-55225 Feb. 1, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Program that Increases Position and Exercise Limits for Certain Equity Options
Comments due:  March 5, 2007

SR-NASD-2007-006
34-55360 Feb. 27, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Filing Documents Pursuant to the Corporate Financing Rule
Comments due:  March 26, 2007

SR-NASD-2007-005
34-55181 Jan. 26, 2007 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Operate the Alternative Display Facility on a Permanent Basis
Comments due:  February 23, 2007

SR-NASD-2007-004
34-55409 Mar. 6, 2007 Order Approving Proposed Rule Change as Modified by Amendment No. 1 to Amend NASD Rule 7010(k) Relating to Transaction Reporting and Compliance Engine Transaction Data
34-55180 Jan. 26, 2007 Notice of Filing of a Proposed Rule Change to Amend NASD Rule 7010(k) Relating to Transaction Reporting and Compliance Engine Transaction Data
Comments due:  February 23, 2007

SR-NASD-2007-003
34-55280 Feb. 12, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fees and Credits for the NASD/BSE Trade Reporting Facility
Comments due:  March 13, 2007

SR-NASD-2007-002
34-55101 Jan. 12, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Conforming Changes to the NASD/Nasdaq Trade Reporting Facility Rules Consistent with the New Requirements of Regulation NMS
Comments due:  February 9, 2007
Comments received are available for this notice.

SR-NASD-2007-001
34-55088 Jan. 11, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Alternative Display Facility Rules
Comments due:  February 9, 2007

 

http://www.sec.gov/rules/sro/nasd/nasdarchive/nasdarchive2007.shtml


Modified: 09/17/2012