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NASD Rulemaking Archive: 2006
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 2006
Additional Archives
2012 |2010 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996
Release No. |
Date |
Details |
Fourth Quarter |
SR-NASD-2006-135 |
34-54984 |
Dec. 20, 2006 |
Notice of Filing and Immediate Effectiveness of Proposal Relating to Implementation of Certain Approved Rule Changes Reflecting the Complete Separation of Nasdaq from NASD
Comments due: January 18, 2007
|
SR-NASD-2006-134 |
34-54953 |
Dec. 18, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Relating to Manning Price-Improvement Standards for Decimalized Securities
Comments due: January 16, 2007
Comments received
are available
for this notice.
|
SR-NASD-2006-039 |
34-54952 |
Dec. 18, 2006 |
Order Granting Approval to Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Amend NASD Rules to Modify and Expand NASD’s Authority to Initiate Trading and Quotation Halts in OTC Equity Securities
See also:
Notice: Rel. No. 34-53920
Comments received
are available
for this notice.
|
SR-NASD-2006-130 |
34-54934 |
Dec. 13, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Extend a Pricing Pilot for NASD Members Using ITS/CAES and Inet
Comments due: January 10, 2007
|
SR-NASD-2006-132 |
34-54932 |
Dec. 13, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Pricing for NASD Members Using ITS/CAES and Inet
Comments due: January 10, 2007
|
SR-NASD-2006-115 |
34-54931 |
Dec. 13, 2006 |
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change, as Amended, Relating to an NASD Trade Reporting Facility Established in Conjunction with the Boston Stock Exchange
Comments due: January 10, 2007
See also:
Notice: Rel. No. 34-54591
Comments received
are available
for this notice.
|
SR-NASD-2006-129 |
34-54909 |
Dec. 11, 2006 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Use of a Special Indicator for Transactions Reported in Accordance with Section 3 of Schedule A to the NASD By-Laws
Comments due: January 8, 2007
|
SR-NASD-2006-126 |
34-54901 |
Dec. 8, 2006 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Integrate Brut and INET Facilities
Comments due: January 5, 2007
|
SR-NASD-2006-123 |
34-54873 |
Dec. 5, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Regarding Guidance for Adjudicating Clearly Erroneous Transactions under NASD Rule 11890
Comments due: January 2, 2007
|
SR-NASD-2006-128 |
34-54872 |
Dec. 5, 2006 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Establishing an Effective Date for Amendments to NASD Rule 2340
Comments due: January 4, 2007
Comments received
are available
for this notice.
|
SR-NASD-2006-124 |
34-54871 |
Dec. 5, 2006 |
Notice of Filing of Proposed Rule Change Relating to Proposed Rule 2342 Requiring Members to Provide New Customers, and All Customers Annually, Specific Information About the Securities Investor Protection Corporation ("SIPC")
Comments due: January 3, 2007
See also:
Notice/Order: Rel. No. 34-55737
Comments received
are available
for this notice.
|
SR-NASD-2006-101 |
34-54857 |
Dec. 1, 2006 |
Notice of Filing of 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
Comments due: December 29, 2006
See also:
Order: Rel. No. 34-55108
|
SR-NASD-2006-066 |
34-54811 |
Nov. 22, 2006 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Allow Certain Institutional Customers to Elect Not to Receive Account Statements
See also:
Notice: Rel. No. 34-54566
|
SR-NASD-2003-141 |
34-54799 |
Nov. 21, 2006 |
Notice of Filing of Amendment Nos. 3, 4, and 5 to a Proposed Rule Change Relating to Additional Mark-Up Policy for Transactions in Debt Securities, Except Municipal Securities
Comments due: December 19, 2006
See also:
Order: Rel. No. 34-55638;
Notice: Rel. No. 34-51338
Comments received
are available
for this notice.
|
SR-NASD-2006-104 |
34-54798 |
Nov. 21, 2006 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Thereto to Reflect Nasdaq’s Complete Separation from the NASD Upon The NASDAQ Stock Market LLC’s Operation as a National Securities Exchange For Non-Nasdaq Exchange-Listed Securities
Comments due: December 20, 2006
See also:
Notice: Rel. No. 34-54451
|
SR-NASD-2006-127 |
34-54778 |
Nov. 17, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New NASD Rule 7000C Series Relating to Fees and Credits for the Trade Reporting Facility Established by NASD and the National Stock Exchange (NASD/NSX TRF)
Comments due: December 18, 2006
|
SR-NASD-2006-120 |
34-54773 |
Nov. 17, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Extend the Hours of Operation of the NASD/Nasdaq TRF, the OTC Reporting Facility and the Trade Reporting of Non-Nasdaq Exchange-Listed Securities Under the NASD Rule 6400 Series
Comments due: December 18, 2006
|
SR-NASD-2006-110 |
34-54768 |
Nov. 16, 2006 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto to Establish a Two-Year Pilot Program Exempting from TRACE Reporting Transactions in Bonds Traded on a Facility of NYSE
Comments due: December 13, 2006
Comments received
are available
for this notice.
|
SR-NASD-2006-007 |
34-54755 |
Nov. 15, 2006 |
Order Approving Proposed Rule Change Relating to Option Position and Exercise Limits and Position Reporting Obligations; and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 Thereto
Comments due: December 13, 2006
See also:
Notice: Rel. No. 34-53189
Comments received
are available
for this notice.
|
SR-NASD-2006-108 |
34-54715A |
Nov. 14, 2006 |
Order Approving a Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 1 to a Proposed Rule Change Relating to an NASD Trade Reporting Facility Established in Conjunction with the National Stock Exchange, Inc. (CORRECTION)
Comments due: December 5, 2006
See also:
Order: Rel. No. 34-54715;
Notice: Rel. No. 34-54479;
Comments received
are available
for this notice.
|
SR-NASD-2006-122 |
34-54742 |
Nov. 13, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Pricing for NASD Members Using ITS/CAES, Brut, and Inet
Comments due: December 11, 2006
|
SR-NASD-2006-073 |
34-54740 |
Nov. 9, 2006 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 to Amend NASD Interpretive Material 2210-4 to Require Certain Member Firms to Provide a Hyperlink to the NASD’s Internet Home Page
Comments due: December 11, 2006
See also:
Notice: Rel. No. 34-54058
Comments received
are available
for this notice.
|
SR-NASD-2006-114 |
34-54728 |
Nov. 8, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt an Automated Process for Opening Quotations of ITS/CAES Market Makers
Comments due: December 7, 2006
|
SR-NASD-2006-108 |
34-54715 |
Nov. 6, 2006 |
Order Approving a Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 1 to a Proposed Rule Change Relating to an NASD Trade Reporting Facility Established in Conjunction with the National Stock Exchange, Inc.
Comments due: December 5, 2006
See also:
Order: Rel. No. 34-54715A;
Notice: Rel. No. 34-54479;
Comments received
are available
for this notice.
|
SR-NASD-2005-146 |
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
See also:
Notice/Order: Rel. No. 34-55351
Comments received
are available
for this notice.
|
SR-NASD-2006-121 |
34-54702 |
Nov. 3, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASD Rule 11890(b)(2) to Allow NASD to Designate Officers to Take Action Under the Rule With Respect to Clearly Erroneous Transactions
Comments due: November 30, 2006
|
SR-NASD-2006-116 |
34-54695 |
Nov. 2, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Pricing for NASD Members Using ITS/CAES, Brut and Inet
Comments due: November 30, 2006
|
SR-NASD-2006-103 |
34-54681 |
Nov. 1, 2006 |
Notice of Filing of a Proposed Rule Change Relating to TRACE Requirements in Connection with the Exercise or Settlement of Options, Swaps, or Similar Instruments
Comments due: November 29, 2006
Comments received
are available
for this notice.
|
SR-NASD-2006-060 |
34-54654 |
Oct. 26, 2006 |
Order Approving Proposed Rule Change to Require Members to File Regulatory Notices with NASD Electronically
See also: Notices: Rel. Nos.
34-54319A;
34-54319
Comments received
are available
for this notice.
|
SR-NASD-2006-119 |
34-54651 |
Oct. 25, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Enhance the Flexibility of Nasdaq’s INET Facility Order Routing Process for Reactive Only DOT Orders That Currently Are Ultimately Directed to the New York Stock Exchange or the American Stock Exchange
Comments due: November 21, 2006
|
SR-NASD-2004-130 |
34-54650 |
Oct. 25, 2006 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Relating to Amendments to Rule 2320(g) (Three Quote Rule) and Corresponding Recordkeeping Requirements under Rule 3110(b)
Comments due: November 21, 2006
See also:
Notice/Order: Rel. No. 34-56004
Comments received
are available
for this notice.
|
SR-NASD-2006-118 |
34-54617 |
Oct. 17, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Date by which Eligible Registrants Must Complete Firm-Element Continuing Education to Qualify to Engage in a Security Futures Business
Comments due: November 15, 2006
|
SR-NASD-2006-112 |
34-54616 |
Oct. 17, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to NYSE Rule 472 and NASD Rule 2711
Comments due: November 14, 2006
Additional File No.: SR-NYSE-2006-77
Comments received
are available
for this notice.
|
SR-NASD-2006-117 |
34-54614 |
Oct. 17, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Enhance the Brut Directed Cross Order
Comments due: November 14, 2006
|
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
See also:
Notice: Rel. No. 34-52332
Comments received
are available
for this notice.
|
SR-NASD-2006-115 |
34-54591 |
Oct. 12, 2006 |
Notice of Filing of a Proposed Rule Change Relating to a New NASD Trade Reporting Facility Established in Conjunction with the Boston Stock Exchange
Comments due: November 8, 2006
See also:
Notice/Order: Rel. No. 34-54931
Comments received
are available
for this notice.
|
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
See also:
Notice: Rel. No. 34-52581
Comments received
are available
for this notice.
|
SR-NASD-2004-171 |
34-54411A |
Oct. 6, 2006 |
Order Approving Proposed Rule Change Relating to Rule 2340 Concerning Customer Account Statements (Correction)
See also:
Order: Rel. No. 34-54411;
Notice: Rel. No. 34-51181
Comments received
are available
for this notice.
|
SR-NASD-2006-066 |
34-54566 |
Oct. 3, 2006 |
Notice of Filing of Proposed Rule Change to Allow Certain Institutional Customers to Elect Not to Receive Account Statements
Comments due: November 6, 2006
See also:
Order: Rel. No. 34-54811
Comments received
are available
for this notice.
|
SR-NASD-2006-111 |
34-54562 |
Oct. 3, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amending the Citation to Section 19 of the Securities Exchange Act in NASD Rule 9559
Comments due: November 1, 2006
|
SR-NASD-2006-076 |
34-54558 |
Oct. 2, 2006 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Exempt all Securities Included in the Nasdaq-100 Index from the Price Test Set Forth in NASD Rule 5100
Comments due: October 31, 2006
See also:
Notice: Rel. No. 34-54010
|
Third Quarter |
SR-NASD-2006-091 |
34-54537 |
Sep. 28, 2006 |
Order Approving a Proposed Rule Change and Amendment No. 2 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 Thereto to Align NASD Rules with Regulation NMS
Comments due: October 27, 2006
See also:
Notice: Rel. No. 34-54277
Additional Materials:
Amendment No. 3
|
SR-NASD-2006-094 |
34-54499 |
Sep. 25, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Regarding Fees for the New Nasdaq Workstation and Weblink ACT
Comments due: October 23, 2006
|
SR-NASD-2006-095 |
34-54498 |
Sep. 25, 2006 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Regarding Fees for non-NASD Member Subscribers to the New Nasdaq Workstation and Weblink ACT
Comments due: October 23, 2006
|
SR-NASD-2006-105 |
34-54496 |
Sep. 25, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Communications Concerning Investment Analysis Tools
Comments due: October 20, 2006
Comments received
are available
for this notice.
|
SR-NASD-2006-108 |
34-54479 |
Sep. 21, 2006 |
Notice of Filing of a Proposed Rule Change Relating to a New NASD Trade Reporting Facility Established in Conjunction with the National Stock Exchange
Comments due: October 18, 2006
Additional Material:
Limited Liability Company Agreement of NASD/NSX Trade Reporting Facility LLC
See also:
Correction Order: Rel. No. 34-54715A;
Order: Rel. No. 34-54715
Comments received
are available
for this notice.
|
SR-NASD-2006-081 |
34-54471 |
Sep. 19, 2006 |
Order Approving Proposed Rule Change to Adopt New NASD Rule 5150 Relating to Trade-Throughs
See also:
Notice: Rel. No. 34-54186
|
SR-NASD-2006-060 |
34-54319A |
Sep. 18, 2006 |
Notice of Filing of Proposed Rule Change to Require Members to File Regulatory Notices with NASD Electronically (Correction)
Comments due: September 12, 2006
See also:
Order: Rel. No. 34-54654;
Notice: Rel. No. 34-54319
Comments received
are available
for this notice.
|
SR-NASD-2006-100 |
34-54463 |
Sep. 15, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Delivery of Options Disclosure Documents
Comments due: October 16, 2006
|
SR-NASD-2006-107 |
34-54462 |
Sep. 15, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Thru Orders for Nasdaq’s INET Facility
Comments due: October 16, 2006
|
SR-NASD-2006-106 |
34-54461 |
Sep. 15, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Market/Limit-on-Open Orders Sent to the American Stock Exchange or New York Stock Exchange
Comments due: October 16, 2006
|
SR-NASD-2006-064 |
34-54456 |
Sep. 15, 2006 |
Order Approving a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Extension of Time Requests
See also:
Notice: Rel. No. 34-54265
Comments received
are available
for this notice.
|
SR-NASD-2006-102 |
34-54455 |
Sep. 15, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Allow for the Digital Recording of Arbitration Hearings
Comments due: October 13, 2006
Comments received
are available
for this notice.
|
SR-NASD-2006-104 |
34-54451 |
Sep. 15, 2006 |
Notice of Filing of Proposed Rule Change to Reflect Nasdaq’s Complete Separation from NASD Upon The NASDAQ Stock Market LLC’s Operation as a National Securities Exchange For Non-Nasdaq Exchange-Listed Securities
Comments due: October 12, 2006
Additional Materials:
Exhibit 5: NASD Proposed Rule Text
See also:
Order: Rel. No. 34-54798
|
SR-NASD-2004-171 |
34-54411 |
Sep. 7, 2006 |
Order Approving Proposed Rule Change Relating to Rule 2340 Concerning Customer Account Statements
See also:
Correction Order: Rel. No. 34-54411A;
Notice: Rel. No. 34-51181
Comments received
are available
for this notice.
|
SR-NASD-2006-093 |
34-54376 |
Aug. 28, 2006 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Regarding Pricing for Non-Members Using Nasdaq’s Brut and Inet Facilities
Comments due: September 26, 2006
|
SR-NASD-2006-092 |
34-54375 |
Aug. 28, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Pricing Schedule for NASD Members Using the ITS/CAES System, Brut, and Inet to Trade Securities Not Listed on The NASDAQ Stock Market LLC
Comments due: September 26, 2006
|
SR-NASD-2006-088 |
34-54360 |
Aug. 24, 2006 |
Notice of Filing of Proposed Rule Change Relating to Motions to Decide Claims Before a Hearing on the Merits
Comments due: September 21, 2006
Comments received
are available
for this notice.
|
SR-NASD-2006-090 |
34-54353 |
Aug. 23, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Regarding Fees and Credits for the NASD/Nasdaq Trade Reporting Facility and To Adopt a Transaction Credit Program for Securities Listed on the Nasdaq Stock Market
Comments due: September 19, 2006
|
SR-NASD-2004-026 |
34-54339 |
Aug. 21, 2006 |
Order Approving Proposed Rule Change as Modified by Amendment Nos. 1-5 to Amend NASD Rule 2320(a) Governing Best Execution
See also: Notices: Rel. Nos.
34-52637;
34-51229
Comments received
are available
for this notice.
|
SR-NASD-2006-097 |
34-54334 |
Aug. 18, 2006 |
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: September 18, 2006
|
SR-NASD-2006-060 |
34-54319 |
Aug. 15, 2006 |
Notice of Filing of Proposed Rule Change to Require Members to File Regulatory Notices with NASD Electronically
Comments due: September 12, 2006
See also:
Order: Rel. No. 34-54654;
Correction Notice: Rel. No. 34-54319A
Comments received
are available
for this notice.
|
SR-NASD-2006-098 |
34-54318 |
Aug. 15, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Certain Technical, Non-Substantive Changes to its Trade Reporting Rules
Comments due: September 12, 2006
|
SR-NASD-2006-099 |
34-54313 |
Aug. 14, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Procedures for the Exercise of Options
Comments due: September 8, 2006
|
SR-NASD-2006-096 |
34-54307 |
Aug. 11, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Additional Market Participant Identifier Functionality on the Alternative Display Facility
Comments due: September 7, 2006
|
SR-NASD-2006-070 |
34-54279 |
Aug. 7, 2006 |
Order Approving a Proposed Rule Change to Amend the Safe Harbor For Business Expansions
See also:
Notice: Rel. No. 34-54051
|
SR-NASD-2006-091 |
34-54277 |
Aug. 4, 2006 |
Notice of Filing of Proposed Rule Change and Amendment No. 2 Thereto to Align NASD Rules with Regulation NMS
Comments due: September 5, 2006
Additional Materials:
Exhibit 3: ADF Trading Center Certification Record
and
Exhibit 5: NASD Proposed Rule Text
See also:
Order: Rel. No. 34-54537
|
SR-NASD-2006-079 |
34-54269 |
Aug. 3, 2006 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Regarding Pricing for Non-Members Using Nasdaq’s Brut and Inet Facilities
Comments due: August 31, 2006
|
SR-NASD-2006-078 |
34-54268 |
Aug. 3, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Regarding the Pricing Schedule for NASD Members Using the Nasdaq Market Center and Nasdaq’s Brut and Inet Facilities
Comments due: August 31, 2006
|
SR-NASD-2006-064 |
34-54265 |
Aug. 2, 2006 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Extension of Time Requests
Comments due: August 31, 2006
See also:
Order: Rel. No. 34-54456
Comments received
are available
for this notice.
|
SR-NASD-2006-080 |
34-54258 |
Aug. 1, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Extend the Time for Non-Member Broker/Dealers to Access the Brut and INET Facilities
Comments due: August 28, 2006
|
SR-NASD-2006-087 |
34-54256 |
Aug. 1, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASD Rule 5110 and Certain Other NASD Rules Amended Pursuant to SR-NASD-2005-087
Comments due: August 28, 2006
|
SR-NASD-2006-086 |
34-54245 |
Jul. 31, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 55 Examination Program
Comments due: August 28, 2006
|
SR-NASD-2006-085 |
34-54244 |
Jul. 31, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 39 Examination Program
Comments due: August 28, 2006
|
SR-NASD-2006-084 |
34-54243 |
Jul. 31, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 28 Examination Program
Comments due: August 28, 2006
|
SR-NASD-2006-083 |
34-54242 |
Jul. 31, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 27 Examination
Comments due: August 28, 2006
|
SR-NASD-2006-011 |
34-54217 |
Jul. 26, 2006 |
Order Approving a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Principal Pre-Use Approval of Member Correspondence to 25 or More Existing Retail Customers Within a 30 Calendar-Day Period
See also:
Notice: Rel. No. 34-53333
Comments received
are available
for this notice.
|
SR-NASD-2006-082 |
34-54214 |
Jul. 26, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 22 Examination Program
Comments due: August 22, 2006
|
SR-NASD-2006-089 |
34-54203 |
Jul. 25, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASD Rule 5100 (Short Sale Rule)
Comments due: August 21, 2006
|
SR-NASD-2006-081 |
34-54186 |
Jul. 20, 2006 |
Notice of Filing of Proposed Rule Change to Adopt New NASD Rule 5150 Relating to Trade-Throughs
Comments due: August 17, 2006
See also:
Order: Rel. No. 34-54471
|
SR-NASD-2006-057 |
34-54160 |
Jul. 17, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Regarding the Pricing Schedule for NASD Members Using the Nasdaq Market Center and Nasdaq’s Brut and INET Facilities
Comments due: August 17, 2006
|
SR-NASD-2006-058 |
34-54159 |
Jul. 17, 2006 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Regarding Pricing for Non-Members Using the Nasdaq Market Center and Nasdaq’s Brut and INET Facilities
Comments due: August 17, 2006
|
SR-NASD-2005-079 |
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
See also:
Order: Rel. No. 34-55038
and
Notice: Rel. No. 34-51981
Comments received
are available
for this notice.
|
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
See also:
Order/Notice: Rel. No. 34-57803
and
Notice: Rel. No. 34-57199
Comments received
are available
for this notice.
|
SR-NASD-2004-043 |
34-54103 |
Jul. 5, 2006 |
Order Approving a Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 4 to the Proposed Rule Change Relating to Disclosure of Fees and Expenses in Mutual Fund Performance Sales Material
Comments due: August 2, 2006
See also:
Notice: Rel. No. 34-50226
Comments received
are available
for this notice.
|
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
See also:
Notice: Rel. No. 34-53745
|
Second Quarter |
SR-NASD-2006-077 |
34-54089 |
Jun. 30, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate its Current General Revenue Sharing Program Under NASD Rule 7010(u) and to Adopt a Revenue Sharing Program Limited to Transactions in Nasdaq-Listed Securities Reported to the Trade Reporting Service of the Nasdaq Market Center
Comments due: July 31, 2006
|
SR-NASD-2004-135 |
34-54088 |
Jun. 30, 2006 |
Order Granting Approval of Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto, and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 4 to the Proposed Rule Change, to Adopt NASD Rule 2441 to Require Disclosure and Consent When Trading on a Net Basis With Customers
Comments due:
See also:
Notice: Rel. No. 34-51457
Comments received
are available
for this notice.
|
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
|
SR-NASD-2006-068 |
34-54071 |
Jun. 29, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendments No. 1, 2, 3 and 4 Thereto to Create the Nasdaq Global Select Market and Rename the Nasdaq National Market
Comments due: July 31, 2006
|
SR-NASD-2006-073 |
34-54058 |
Jun. 28, 2006 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Amendment of NASD Interpretive Material 2210-4 to Require Certain Member Firms to Provide a Hyperlink to the NASD’s Internet Home Page
Comments due: July 27, 2006
See also:
Order: Rel. No. 34-54740
Comments received
are available
for this notice.
|
SR-NASD-2003-168 |
34-54053 |
Jun. 27, 2006 |
Notice of Filing of Amendment Nos. 4 and 5 to the Proposed Rule Change Relating to the Release of Information Through NASD BrokerCheck
Comments due: July 20, 2006
See also: Notice/Order: Rel. No.
34-55127;
Notice: Rel. No. 34-51915
Comments received
are available
for this notice.
|
SR-NASD-2006-070 |
34-54051 |
Jun. 27, 2006 |
Notice of Filing of Proposed Rule Change to Amend the Safe Harbor For Business Expansions
Comments due: July 26, 2006
See also:
Order: Rel. No. 34-54279
|
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
See also:
Notice: Rel. No. 34-53546
|
SR-NASD-2004-183 |
34-54023 |
Jun. 21, 2006 |
Notice of Filing Amendment No. 2 to Proposed Rule Relating to Sales Practice Standards and Supervisory Requirements for Transactions in Deferred Variable Annuities
Comments due: July 19, 2006
See also: Notice/Orders: Rel. Nos.
34-56375A;
34-56375; Notices: Rel. Nos.
34-52191;
Correction Notice: Rel. No. 34-52046A
Comments received
are available
for this notice.
|
SR-NASD-2006-067 |
34-54015 |
Jun. 19, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASD Rule 7010(c)(2) to Allow NASD Members to Receive Transaction Credits for Automated Executions in Tape B Securities on an Estimated Monthly Basis
Comments due: July 17, 2006
|
SR-NASD-2006-076 |
34-54010 |
Jun. 16, 2006 |
Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. to exempt all securities included in the NASDAQ 100 Index from the price test set forth in NASD Rule 3350(a)
Comments due: July 13, 2006
See also:
Notice/Order: Rel. No. 34-54558
|
SR-NASD-2006-030 |
34-54005 |
Jun. 16, 2006 |
Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto to Establish an Annual Administrative Fee for Market Data Distributors that are Recipients of Nasdaq Proprietary Data Products
See also:
Notice: Rel. No. 34-53770
|
SR-NASD-2006-056 |
34-54003 |
Jun. 16, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 to Establish a Package of Real-Time and Near-Real-Time Data Products Called the Market Analytics Data Package
Comments due: July 14, 2006
Comments received
are available
for this notice.
|
SR-NASD-2006-072 |
34-54002 |
Jun. 16, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Fees for Trading and Compliance Data and the Data Package Available to NASD Member Firms via NasdaqTrader.com
Comments due: July 14, 2006
Comments received
are available
for this notice.
|
SR-NASD-2006-071 |
34-53994 |
Jun. 15, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Technical Amendments to Rule 3210
Comments due: July 12, 2006
|
SR-NASD-2006-063 |
34-53982 |
Jun. 14, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Fee for Extension of Time Requests
Comments due: July 12, 2006
|
SR-NASD-2006-055 |
34-53977 |
Jun. 12, 2006 |
Order Granting Approval of a Proposed Rule Change To Require Members To Report All Transactions that Must Be Reported to NASD and Are Subject to a Regulatory Transaction Fee to the Nasdaq Market Center and/or the Trade Reporting and Comparison Service
See also:
Notice: Rel. No. 34-53748
|
SR-NASD-2006-069 |
34-53972 |
Jun. 12, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Relating to Manning Price-Improvement Standards for Decimalized Securities
Comments due: July 10, 2006
|
SR-NASD-2006-065 |
34-53955 |
Jun. 7, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Establishment of an Annual Branch Office System Processing Fee and the Waiver of the Annual Branch Office System Processing Fee and the Annual Branch Office Registration Fee For One Branch Office Per Member Per Year
Comments due: July 6, 2006
Comments received
are available
for this notice.
|
SR-NASD-2006-061 |
34-53931 |
Jun. 1, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Establish Pricing for the Nasdaq IPO/Halt Cross
Comments due: June 29, 2006
|
SR-NASD-2006-039 |
34-53920 |
Jun. 1, 2006 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Amend NASD Rules to Modify and Expand NASD’s Authority to Initiate Trading and Quotation Halts in OTC Equity Securities
Comments due: June 28, 2006
See also:
Order: Rel. No. 34-54952
Comments received
are available
for this notice.
|
SR-NASD-2006-059 |
34-53838 |
May 18, 2006 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto Related to Non-NASD Member Broker/Dealer Access to Nasdaq’s Brut and INET Facilities
Comments due: June 15, 2006
|
SR-NASD-2006-052 |
34-53819 |
May 17, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Reflect the Revised Effective Date of Certain Amendments to NASD’s Order Audit Trail System Rules
Comments due: June 13, 2006
|
SR-NASD-2006-062 |
34-53818 |
May 17, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reflect the Revised Effective Date of Certain Amendments to NASD’s Order Audit Trail System Rules
Comments due: June 13, 2006
|
SR-NASD-2006-053 |
34-53787 |
May 11, 2006 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto to Establish Additional Routing Options in the INET System for Securities Listed on the New York Stock Exchange or the American Stock Exchange
Comments due: June 7, 2006
|
SR-NASD-2006-030 |
34-53770 |
May 8, 2006 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Establish an Annual Administrative Fee for Market Data Distributors that are Recipients of Nasdaq Proprietary Data Products
Comments due: June 2, 2006
See also:
Order: Rel. No. 34-54005
|
SR-NASD-2006-041 |
34-53769 |
May 8, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, and Amendment No. 1 thereto, to Eliminate from The Nasdaq Stock Market Inc.’s Corporate Organizational Documents Certain Series of Preferred Stock
Comments due: June 2, 2006
|
SR-NASD-2006-055 |
34-53748 |
May 2, 2006 |
Notice of Filing of a Proposed Rule Change to Require Members to Report All Transactions that Must Be Reported to NASD and Are Subject to a Regulatory Transaction Fee to the Nasdaq Market Center and/or the Trade Reporting and Comparison Service
Comments due: May 30, 2006
See also:
Order: Rel. No. 34-53977
|
SR-NASD-2005-140 |
34-53745 |
May 1, 2006 |
Notice of Filing of Proposed Rule Change Regarding the Nasdaq Crossing Network
Comments due: May 26, 2006
See also:
Order: Rel. No. 34-54101
|
SR-NASD-2006-045 |
34-53743 |
Apr. 28, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Rule 2520 (Margin Requirements)
Comments due: May 30, 2006
|
SR-NASD-2006-054 |
34-53730 |
Apr. 26, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change for Handling by INET and Brut of Sub-Penny Orders in Securities Listed on the New York Stock Exchange LLC or the American Stock Exchange LLC
Comments due: May 23, 2006
|
SR-NASD-2006-051 |
34-53720 |
Apr. 25, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the Maximum Single Order Share Amount in Nasdaq’s INET Facility
Comments due: May 23, 2006
|
SR-NASD-2006-050 |
34-53699 |
Apr. 21, 2006 |
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: May 19, 2006
|
SR-NASD-2006-047 |
34-53696 |
Apr. 21, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NASD Rule 4500 Series to Describe an Application of Nasdaq's Authority to Waive Fees and to Make Certain Technical Changes
Comments due: May 19, 2006
|
SR-NASD-2006-015 |
34-53687 |
Apr. 20, 2006 |
Order Approving Proposed Rule Change to Establish the Nasdaq Halt Cross
See also:
Notice: Rel. No. 34-53488
|
SR-NASD-2006-049 |
34-53675 |
Apr. 18, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Brut’s Routing Order Process
Comments due: May 16, 2006
|
SR-NASD-2006-046 |
34-53669 |
Apr. 18, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Technical Amendments to Rule 3080 (Disclosure to Associated Persons When Signing Form U-4)
Comments due: May 15, 2006
|
SR-NASD-2006-035 |
34-53653 |
Apr. 14, 2006 |
Order Granting Accelerated Approval of Proposed Rule Change Relating to Proposed Amendments to IM 2110-2 to Codify NASD’s Existing Position that the Manning Rule applies to All Members, Whether Acting as a Market Maker or Not
See also:
Notice: Rel. No. 34-53527
|
SR-NASD-2006-048 |
34-53644 |
Apr. 13, 2006 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Modify Order Delivery Charges for Orders Delivered to Nasdaq Market Center Participants
Comments due: May 10, 2006
Comments received
are available
for this notice.
|
SR-NASD-2006-043 |
34-53617 |
Apr. 7, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Fee for the Brut Workstation
Comments due: May 5, 2006
|
SR-NASD-2006-028 |
34-53606 |
Apr. 6, 2006 |
Order Approving Proposed Rule Change to Allow Nasdaq to Take Certain Actions on behalf of Its Issuers in Connection with Nasdaq’s Transition to a National Securities Exchange
See also:
Notice: Rel. No. 34-53362 |
SR-NASD-2005-080 |
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
See also:
Notice/Order: Rel. No. 34-56645
Comments received
are available
for this notice.
|
SR-NASD-2004-044 |
34-53596 |
Apr. 4, 2006 |
Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 thereto Relating to
Short Sale Delivery Requirements
See also: Notice: Rel. Nos.
34-52752
and
34-52572A
|
First Quarter |
SR-NASD-2006-040 |
34-53580 |
Mar. 30, 2006 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Expand NASD's Order Audit Trail System Exemptive Authority to Include Recording Requirements
Comments due: April 27, 2006
|
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
Comments due: April 27, 2006
See also:
Notice: Rel. No. 34-52985
|
SR-NASD-2006-038 |
34-53564 |
Mar. 29, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Proposed Amendments to NASD Rule 1013 to Adopt a Standardized New Member Application Form (Form NMA)
Comments due: April 25, 2006
|
SR-NASD-2006-005 |
34-53562 |
Mar. 29, 2006 |
Notice of Filing of Proposed Rule Change to Expand the Scope of NASD Rule 2440 and Interpretive Material 2440 Relating to Fair Prices and Commissions to Apply to All Securities Transactions
Comments due: April 25, 2006
See also:
Order: Rel. No. 34-57964
Comments received
are available
for this notice.
|
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
See also:
Notice: Rel. No. 34-53276
|
SR-NASD-2005-067 |
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
See also:
Order: Rel. No. 34-54028
|
SR-NASD-2006-029 |
34-53542 |
Mar. 23, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Rule 6530 to Clarify the Removal Process for Securities of OTCBB Issuers that Fail to Remain Current with OTCBB Reporting Requirements
Comments due: April 19, 2006
Comments received
are available
for this notice.
|
SR-NASD-2006-033 |
34-53541 |
Mar. 22, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendments No. 1 and 2 Thereto to Amend NASD Rule 11890
Comments due: April 19, 2006
|
SR-NASD-2006-037 |
34-53538 |
Mar. 22, 2006 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Extending the Effective Date of the Uniform Branch Office Definition and Related Interpretive Material and Extending the Transition Deadline for Compliance with Form BR and Form U4 Filing Requirements
Comments due: April 19, 2006
|
SR-NASD-2006-026 |
34-53536 |
Mar. 21, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Establishing CTCI Station-Based Pricing for Members
Comments due: April 19, 2006
Comments received
are available
for this notice.
|
SR-NASD-2006-027 |
34-53535 |
Mar. 21, 2006 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Establishing CTCI Station-Based Pricing for Non-Members
Comments due: April 19, 2006
Comments received
are available
for this notice.
|
SR-NASD-2006-008 |
34-53531 |
Mar. 21, 2006 |
Order Approving a Proposed Rule Change to Re-establish a Fee Pilot for National Quotation Data Service
See also:
Notice: Rel. No. 34-53254
|
SR-NASD-2006-035 |
34-53527 |
Mar. 21, 2006 |
Notice of Filing of Proposed Rule Change Relating to Proposed Amendments to IM-2110-2 to Codify NASD's Existing Position that the Manning Rule Applies to All Members, Whether Acting as a Market Maker or Not
Comments due: April 12, 2006
See also:
Order: Rel. No. 34-53653
|
SR-NASD-2006-036 |
34-53509 |
Mar. 17, 2006 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Certification by the Chief Executive Officer under NASD Interpretive Material 3013
Comments due: April 17, 2006
|
SR-NASD-2006-032 |
34-53505 |
Mar. 16, 2006 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto to Reduce Routing Charges for Non-NASD Members
Comments due: April 13, 2006
|
SR-NASD-2006-031 |
34-53504 |
Mar. 16, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reduce Routing Charges for NASD Members
Comments due: April 13, 2006
|
SR-NASD-2006-015 |
34-53488 |
Mar. 15, 2006 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Establish the Nasdaq Halt Cross
Comments due: April 11, 2006
See also:
Order: Rel. No. 34-53687
|
SR-NASD-2006-022 |
34-53474 |
Mar. 13, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Optional Routing of Orders in Nasdaq’s INET Facility
Comments due: April 10, 2006
|
SR-NASD-2006-020 |
34-53440 |
Mar. 8, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Odd Lot Transactions in the Nasdaq Stock Market
Comments due: April 6, 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
See also:
Notice: Rel. No. 34-53132
Comments received
are available
for this notice.
|
SR-NASD-2006-028 |
34-53362 |
Feb. 24, 2006 |
Notice of Filing of Proposed Rule Change to Allow Nasdaq to Take Certain Actions on behalf of Its Issuers in Connection with Nasdaq's Transition to a National Securities Exchange
Comments due: March 23, 2006
See also:
Order: Rel. No. 34-53606
|
SR-NASD-2006-025 |
34-53346 |
Feb. 22, 2006 |
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 22, 2006
|
SR-NASD-2006-011 |
34-53333 |
Feb. 17, 2006 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Principal Pre-Use Approval of Member Correspondence to 25 or More Existing Retail Customers Within a 30 Calendar-Day Period
Comments due: March 21, 2006
See also:
Order: Rel. No. 34-54217
Comments received
are available
for this notice.
|
SR-NASD-2006-021 |
34-53325 |
Feb. 16, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Extend the Time for Non-Member Broker/Dealers to Access the Brut and INET Facilities
Comments due: March 16, 2006
|
SR-NASD-2006-024 |
34-53321 |
Feb. 15, 2006 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Modify Pricing for Non-Members Using Nasdaq’s Brut and Inet Facilities
Comments due: March 16, 2006
|
SR-NASD-2006-023 |
34-53320 |
Feb. 15, 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 and Inet Facilities
Comments due: March 16, 2006
|
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-2006-017 |
34-53316 |
Feb. 15, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Short Sale Processing in Nasdaq’s INET Facility
Comments due: March 16, 2006
|
SR-NASD-2005-098 |
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
See also:
Order: Rel. No. 34-53556
|
SR-NASD-2006-018 |
34-53269 |
Feb. 10, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Modify the Routing Sequence for Directed Cross Orders
Comments due: March 9, 2006
|
SR-NASD-2006-014 |
34-53257 |
Feb. 8, 2006 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto to Modify the Pricing for Non-Members Using Nasdaq’s Brut and Inet Facilities
Comments due: March 8, 2006
|
SR-NASD-2006-013 |
34-53256 |
Feb. 8, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Establish a Unified Pricing Schedule for NASD Members Using the Nasdaq Market Center and Nasdaq’s Brut and Inet Facilities
Comments due: March 8, 2006
|
SR-NASD-2006-009 |
34-53255 |
Feb. 8, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of the Fee Pilot for National Quotation Data Service
Comments due: March 8, 2006
|
SR-NASD-2006-008 |
34-53254 |
Feb. 8, 2006 |
Notice of Filing of Proposed Rule Change to Re-establish a Fee Pilot for National Quotation Data Service
Comments due: March 8, 2006
See also:
Order: Rel. No. 34-53531
|
SR-NASD-2006-019 |
34-53233 |
Feb. 6, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Uniform Order Warning and Rejection Parameters for the Nasdaq Market Center
Comments due: March 3, 2006
|
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
See also:
Notice: Rel. No. 34-52679
Comments received
are available
for this notice.
|
SR-NASD-2006-016 |
34-53203 |
Jan. 31, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Mechanism for Handling Sub-Penny Orders in Securities Listed on the New York Stock Exchange or the American Stock Exchange
Comments due: February 28, 2006
|
SR-NASD-2006-004 |
34-53192 |
Jan. 30, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Pilot Programs Relating to Multiple Market Participant Identifiers
Comments due: February 28, 2006
|
SR-NASD-2006-007 |
34-53189 |
Jan. 30, 2006 |
Notice of Filing Proposed Rule Change Relating to Position Limits and Position Reporting Obligations for Conventional Index and Equity Options
Comments due: February 27, 2006
See also:
Order: Rel. No. 34-54755
Comments received
are available
for this notice.
|
SR-NASD-2006-006 |
34-53187 |
Jan. 30, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Modify the Hours of Operation of Nasdaq's Brut System
Comments due: February 27, 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
See also:
Notice: Rel. No. 34-52979
|
SR-NASD-2006-003 |
34-53149 |
Jan. 19, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Guidance Regarding Firms' Obligations under NASD Rule 2111 Regarding Market Order Protection
Comments due: February 21, 2006
|
SR-NASD-2006-001 |
34-53142 |
Jan. 19, 2006 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto to Establish Generic Listing Standards for Index-Linked Securities
Comments due: February 15, 2006
|
SR-NASD-2005-144 |
34-53132 |
Jan. 17, 2006 |
Notice of Filing of Proposed Rule Change Relating to Order Entry and Execution Practices
Comments due: February 13, 2006
See also:
Order: Rel. No. 34-53371
Comments received
are available
for this notice.
|
SR-NASD-2006-002 |
34-53111 |
Jan. 12, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Related to Non-NASD Member Broker-Dealer Access to Nasdaq’s Brut Facility
Comments due: February 14, 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-2005-155 |
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
|
Release No. |
Date |
Details |
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-2006-136 |
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-2006-135 |
34-54984 |
Dec. 20, 2006 |
Notice of Filing and Immediate Effectiveness of Proposal Relating to Implementation of Certain Approved Rule Changes Reflecting the Complete Separation of Nasdaq from NASD
Comments due: January 18, 2007
|
SR-NASD-2006-134 |
34-54953 |
Dec. 18, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Relating to Manning Price-Improvement Standards for Decimalized Securities
Comments due: January 16, 2007
Comments received
are available
for this notice.
|
SR-NASD-2006-132 |
34-54932 |
Dec. 13, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Pricing for NASD Members Using ITS/CAES and Inet
Comments due: January 10, 2007
|
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
|
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
Comments received
are available
for this notice.
|
SR-NASD-2006-130 |
34-54934 |
Dec. 13, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Extend a Pricing Pilot for NASD Members Using ITS/CAES and Inet
Comments due: January 10, 2007
|
SR-NASD-2006-129 |
34-54909 |
Dec. 11, 2006 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Use of a Special Indicator for Transactions Reported in Accordance with Section 3 of Schedule A to the NASD By-Laws
Comments due: January 8, 2007
|
SR-NASD-2006-128 |
34-54872 |
Dec. 5, 2006 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Establishing an Effective Date for Amendments to NASD Rule 2340
Comments due: January 4, 2007
Comments received
are available
for this notice.
|
SR-NASD-2006-127 |
34-54778 |
Nov. 17, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New NASD Rule 7000C Series Relating to Fees and Credits for the Trade Reporting Facility Established by NASD and the National Stock Exchange (NASD/NSX TRF)
Comments due: December 18, 2006
|
SR-NASD-2006-126 |
34-54901 |
Dec. 8, 2006 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Integrate Brut and INET Facilities
Comments due: January 5, 2007
|
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
Comments received
are available
for this notice.
|
34-54871 |
Dec. 5, 2006 |
Notice of Filing of Proposed Rule Change Relating to Proposed Rule 2342 Requiring Members to Provide New Customers, and All Customers Annually, Specific Information About the Securities Investor Protection Corporation ("SIPC")
Comments due: January 3, 2007
Comments received
are available
for this notice.
|
SR-NASD-2006-123 |
34-54873 |
Dec. 5, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Regarding Guidance for Adjudicating Clearly Erroneous Transactions under NASD Rule 11890
Comments due: January 2, 2007
|
SR-NASD-2006-122 |
34-54742 |
Nov. 13, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Pricing for NASD Members Using ITS/CAES, Brut, and Inet
Comments due: December 11, 2006
|
SR-NASD-2006-121 |
34-54702 |
Nov. 3, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASD Rule 11890(b)(2) to Allow NASD to Designate Officers to Take Action Under the Rule With Respect to Clearly Erroneous Transactions
Comments due: November 30, 2006
|
SR-NASD-2006-120 |
34-54773 |
Nov. 17, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Extend the Hours of Operation of the NASD/Nasdaq TRF, the OTC Reporting Facility and the Trade Reporting of Non-Nasdaq Exchange-Listed Securities Under the NASD Rule 6400 Series
Comments due: December 19, 2006
|
SR-NASD-2006-119 |
34-54651 |
Oct. 25, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Enhance the Flexibility of Nasdaq’s INET Facility Order Routing Process for Reactive Only DOT Orders That Currently Are Ultimately Directed to the New York Stock Exchange or the American Stock Exchange
Comments due: November 21, 2006
|
SR-NASD-2006-118 |
34-54617 |
Oct. 17, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Date by which Eligible Registrants Must Complete Firm-Element Continuing Education to Qualify to Engage in a Security Futures Business
Comments due: November 15, 2006
|
SR-NASD-2006-117 |
34-54614 |
Oct. 17, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Enhance the Brut Directed Cross Order
Comments due: November 14, 2006
|
SR-NASD-2006-116 |
34-54695 |
Nov. 2, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Pricing for NASD Members Using ITS/CAES, Brut and Inet
Comments due: November 30, 2006
|
SR-NASD-2006-115 |
34-54931 |
Dec. 13, 2006 |
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change, as Amended, Relating to an NASD Trade Reporting Facility Established in Conjunction with the Boston Stock Exchange
Comments due: January 10, 2007
|
34-54591 |
Oct. 12, 2006 |
Notice of Filing of a Proposed Rule Change Relating to a New NASD Trade Reporting Facility Established in Conjunction with the Boston Stock Exchange
Comments due: November 8, 2006
Comments received
are available
for this notice.
|
SR-NASD-2006-114 |
34-54728 |
Nov. 8, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt an Automated Process for Opening Quotations of ITS/CAES Market Makers
Comments due: December 7, 2006
|
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-2006-112 |
34-54616 |
Oct. 17, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to NYSE Rule 472 and NASD Rule 2711
Comments due: November 14, 2006
Additional File No.: SR-NYSE-2006-77
Comments received
are available
for this notice.
|
SR-NASD-2006-111 |
34-54562 |
Oct. 3, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amending the Citation to Section 19 of the Securities Exchange Act in NASD Rule 9559
Comments due: November 1, 2006
|
SR-NASD-2006-110 |
34-54768 |
Nov. 16, 2006 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto to Establish a Two-Year Pilot Program Exempting from TRACE Reporting Transactions in Bonds Traded on a Facility of NYSE
Comments due: December 19, 2006
Comments received
are available
for this notice.
|
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
|
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:
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-2006-108 |
34-54715A |
Nov. 14, 2006 |
Order Approving a Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 1 to a Proposed Rule Change Relating to an NASD Trade Reporting Facility Established in Conjunction with the National Stock Exchange, Inc. (CORRECTION)
Comments due: December 5, 2006
Comments received
are available
for this notice.
|
34-54715 |
Nov. 6, 2006 |
Order Approving a Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 1 to a Proposed Rule Change Relating to an NASD Trade Reporting Facility Established in Conjunction with the National Stock Exchange, Inc.
Comments due: December 5, 2006
|
34-54479 |
Sep. 21, 2006 |
Notice of Filing of a Proposed Rule Change Relating to a New NASD Trade Reporting Facility Established in Conjunction with the National Stock Exchange
Comments due: October 18, 2006
Additional Material:
Limited Liability Company Agreement of NASD/NSX Trade Reporting Facility LLC
Comments received
are available
for this notice.
|
SR-NASD-2006-107 |
34-54462 |
Sep. 15, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Thru Orders for Nasdaq’s INET Facility
Comments due: October 16, 2006
|
SR-NASD-2006-106 |
34-54461 |
Sep. 15, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Market/Limit-on-Open Orders Sent to the American Stock Exchange or New York Stock Exchange
Comments due: October 16, 2006
|
SR-NASD-2006-105 |
34-54496 |
Sep. 25, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Communications Concerning Investment Analysis Tools
Comments due: October 20, 2006
Comments received
are available
for this notice.
|
SR-NASD-2006-104 |
34-54798 |
Nov. 21, 2006 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Thereto to Reflect Nasdaq’s Complete Separation from the NASD Upon The NASDAQ Stock Market LLC’s Operation as a National Securities Exchange For Non-Nasdaq Exchange-Listed Securities
Comments due: December 19, 2006
|
34-54451 |
Sep. 15, 2006 |
Notice of Filing of Proposed Rule Change to Reflect Nasdaq’s Complete Separation from NASD Upon The NASDAQ Stock Market LLC’s Operation as a National Securities Exchange For Non-Nasdaq Exchange-Listed Securities
Comments due: October 12, 2006
Additional Material:
Exhibit 5: NASD Proposed Rule Text
|
SR-NASD-2006-103 |
34-54681 |
Nov. 1, 2006 |
Notice of Filing of a Proposed Rule Change Relating to TRACE Requirements in Connection with the Exercise or Settlement of Options, Swaps, or Similar Instruments
Comments due: November 29, 2006
Comments received
are available
for this notice.
|
SR-NASD-2006-102 |
34-54455 |
Sep. 15, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Allow for the Digital Recording of Arbitration Hearings
Comments due: October 13, 2006
Comments received
are available
for this notice.
|
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
|
34-54857 |
Dec. 1, 2006 |
Notice of Filing of 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
Comments due: December 29, 2006
|
SR-NASD-2006-100 |
34-54463 |
Sep. 15, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Delivery of Options Disclosure Documents
Comments due: October 16, 2006
|
SR-NASD-2006-099 |
34-54313 |
Aug. 14, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Procedures for the Exercise of Options
Comments due: September 8, 2006
|
SR-NASD-2006-098 |
34-54318 |
Aug. 15, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Certain Technical, Non-Substantive Changes to its Trade Reporting Rules
Comments due: September 12, 2006
|
SR-NASD-2006-097 |
34-54334 |
Aug. 18, 2006 |
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: September 18, 2006
|
SR-NASD-2006-096 |
34-54307 |
Aug. 11, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Additional Market Participant Identifier Functionality on the Alternative Display Facility
Comments due: September 7, 2006
|
SR-NASD-2006-095 |
34-54498 |
Sep. 25, 2006 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Regarding Fees for non-NASD Member Subscribers to the New Nasdaq Workstation and Weblink ACT
Comments due: October 23, 2006
|
SR-NASD-2006-094 |
34-54499 |
Sep. 25, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Regarding Fees for the New Nasdaq Workstation and Weblink ACT
Comments due: October 23, 2006
|
SR-NASD-2006-093 |
34-54376 |
Aug. 28, 2006 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Regarding Pricing for Non-Members Using Nasdaq’s Brut and Inet Facilities
Comments due: September 26, 2006
|
SR-NASD-2006-092 |
34-54375 |
Aug. 28, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Pricing Schedule for NASD Members Using the ITS/CAES System, Brut, and Inet to Trade Securities Not Listed on The NASDAQ Stock Market LLC
Comments due: September 26, 2006
|
SR-NASD-2006-091 |
34-54537 |
Sep. 28, 2006 |
Order Approving a Proposed Rule Change and Amendment No. 2 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 Thereto to Align NASD Rules with Regulation NMS
Comments due: October 27, 2006
Additional Materials:
Amendment No. 3
|
34-54277 |
Aug. 4, 2006 |
Notice of Filing of Proposed Rule Change and Amendment No. 2 Thereto to Align NASD Rules with Regulation NMS
Comments due: September 5, 2006
Additional Materials:
Exhibit 3: ADF Trading Center Certification Record
and
Exhibit 5: NASD Proposed Rule Text
|
SR-NASD-2006-090 |
34-54353 |
Aug. 23, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Regarding Fees and Credits for the NASD/Nasdaq Trade Reporting Facility and To Adopt a Transaction Credit Program for Securities Listed on the Nasdaq Stock Market
Comments due: September 19, 2006
|
SR-NASD-2006-089 |
34-54203 |
Jul. 25, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASD Rule 5100 (Short Sale Rule)
Comments due: August 21, 2006
|
SR-NASD-2006-088 |
34-54360 |
Aug. 24, 2006 |
Notice of Filing of Proposed Rule Change Relating to Motions to Decide Claims Before a Hearing on the Merits
Comments due: September 21, 2006
Comments received
are available
for this notice.
|
SR-NASD-2006-087 |
34-54256 |
Aug. 1, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASD Rule 5110 and Certain Other NASD Rules Amended Pursuant to SR-NASD-2005-087
Comments due: August 28, 2006
|
SR-NASD-2006-086 |
34-54245 |
Jul. 31, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 55 Examination Program
Comments due: August 28, 2006
|
SR-NASD-2006-085 |
34-54244 |
Jul. 31, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 39 Examination Program
Comments due: August 28, 2006
|
SR-NASD-2006-084 |
34-54243 |
Jul. 31, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 28 Examination Program
Comments due: August 28, 2006
|
SR-NASD-2006-083 |
34-54242 |
Jul. 31, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 27 Examination
Comments due: August 28, 2006
|
SR-NASD-2006-082 |
34-54214 |
Jul. 26, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 22 Examination Program
Comments due: August 22, 2006
|
SR-NASD-2006-081 |
34-54471 |
Sep. 19, 2006 |
Order Approving Proposed Rule Change to Adopt New NASD Rule 5150 Relating to Trade-Throughs
|
34-54186 |
Jul. 20, 2006 |
Notice of Filing of Proposed Rule Change to Adopt New NASD Rule 5150 Relating to Trade-Throughs
Comments due: August 17, 2006
|
SR-NASD-2006-080 |
34-54258 |
Aug. 1, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Extend the Time for Non-Member Broker/Dealers to Access the Brut and INET Facilities
Comments due: August 28, 2006
|
SR-NASD-2006-079 |
34-54269 |
Aug. 3, 2006 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Regarding Pricing for Non-Members Using Nasdaq’s Brut and Inet Facilities
Comments due: August 31, 2006
|
SR-NASD-2006-078 |
34-54268 |
Aug. 3, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Regarding the Pricing Schedule for NASD Members Using the Nasdaq Market Center and Nasdaq’s Brut and Inet Facilities
Comments due: August 31, 2006
|
SR-NASD-2006-077 |
34-54089 |
Jun. 30, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate its Current General Revenue Sharing Program Under NASD Rule 7010(u) and to Adopt a Revenue Sharing Program Limited to Transactions in Nasdaq-Listed Securities Reported to the Trade Reporting Service of the Nasdaq Market Center
Comments due: July 31, 2006
|
SR-NASD-2006-076 |
34-54558 |
Oct. 2, 2006 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Exempt all Securities Included in the Nasdaq-100 Index from the Price Test Set Forth in NASD Rule 5100
Comments due: October 31, 2006
|
34-54010 |
Jun. 16, 2006 |
Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. to exempt all securities included in the NASDAQ 100 Index from the price test set forth in NASD Rule 3350(a)
Comments due: July 13, 2006
|
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
|
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
Comments received
are available
for this notice.
|
SR-NASD-2006-073 |
34-54740 |
Nov. 9, 2006 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 to Amend NASD Interpretive Material 2210-4 to Require Certain Member Firms to Provide a Hyperlink to the NASD’s Internet Home Page
Comments due: December 11, 2006
|
34-54058 |
Jun. 28, 2006 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Amendment of NASD Interpretive Material 2210-4 to Require Certain Member Firms to Provide a Hyperlink to the NASD’s Internet Home Page
Comments due: July 27, 2006
Comments received
are available
for this notice.
|
SR-NASD-2006-072 |
34-54002 |
Jun. 16, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Fees for Trading and Compliance Data and the Data Package Available to NASD Member Firms via NasdaqTrader.com
Comments due: July 14, 2006
Comments received
are available
for this notice.
|
SR-NASD-2006-071 |
34-53994 |
Jun. 15, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Technical Amendments to Rule 3210
Comments due: July 12, 2006
|
SR-NASD-2006-070 |
34-54279 |
Aug. 7, 2006 |
Order Approving a Proposed Rule Change to Amend the Safe Harbor For Business Expansions
|
34-54051 |
Jun. 27, 2006 |
Notice of Filing of Proposed Rule Change to Amend the Safe Harbor For Business Expansions
Comments due: July 26, 2006
|
SR-NASD-2006-069 |
34-53972 |
Jun. 12, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Relating to Manning Price-Improvement Standards for Decimalized Securities
Comments due: July 10, 2006
|
SR-NASD-2006-068 |
34-54071 |
Jun. 29, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendments No. 1, 2, 3 and 4 Thereto to Create the Nasdaq Global Select Market and Rename the Nasdaq National Market
Comments due: July 31, 2006
|
SR-NASD-2006-067 |
34-54015 |
Jun. 19, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASD Rule 7010(c)(2) to Allow NASD Members to Receive Transaction Credits for Automated Executions in Tape B Securities on an Estimated Monthly Basis
Comments due: July 17, 2006
|
SR-NASD-2006-066 |
34-54811 |
Nov. 22, 2006 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Allow Certain Institutional Customers to Elect Not to Receive Account Statements
|
34-54566 |
Oct. 3, 2006 |
Notice of Filing of Proposed Rule Change to Allow Certain Institutional Customers to Elect Not to Receive Account Statements
Comments due: November 6, 2006
Comments received
are available
for this notice.
|
SR-NASD-2006-065 |
34-53955 |
Jun. 7, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Establishment of an Annual Branch Office System Processing Fee and the Waiver of the Annual Branch Office System Processing Fee and the Annual Branch Office Registration Fee For One Branch Office Per Member Per Year
Comments due: July 6, 2006
Comments received
are available
for this notice.
|
SR-NASD-2006-064 |
34-54456 |
Sep. 15, 2006 |
Order Approving a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Extension of Time Requests
|
34-54265 |
Aug. 2, 2006 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Extension of Time Requests
Comments due: August 31, 2006
Comments received
are available
for this notice.
|
SR-NASD-2006-063 |
34-53982 |
Jun. 14, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Fee for Extension of Time Requests
Comments due: July 12, 2006
|
SR-NASD-2006-062 |
34-53818 |
May 17, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reflect the Revised Effective Date of Certain Amendments to NASD’s Order Audit Trail System Rules
Comments due: June 13, 2006
|
SR-NASD-2006-061 |
34-53931 |
Jun. 1, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Establish Pricing for the Nasdaq IPO/Halt Cross
Comments due: June 29, 2006
|
SR-NASD-2006-060 |
34-54654 |
Oct. 26, 2006 |
Order Approving Proposed Rule Change to Require Members to File Regulatory Notices with NASD Electronically
|
34-54319A |
Sep. 18, 2006 |
Notice of Filing of Proposed Rule Change to Require Members to File Regulatory Notices with NASD Electronically (Correction)
Comments due: September 12, 2006
|
34-54319 |
Aug. 15, 2006 |
Notice of Filing of Proposed Rule Change to Require Members to File Regulatory Notices with NASD Electronically
Comments due: September 12, 2006
Comments received
are available
for this notice.
|
SR-NASD-2006-059 |
34-53838 |
May 18, 2006 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto Related to Non-NASD Member Broker/Dealer Access to Nasdaq’s Brut and INET Facilities
Comments due: June 15, 2006
|
SR-NASD-2006-058 |
34-54159 |
Jul. 17, 2006 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Regarding Pricing for Non-Members Using the Nasdaq Market Center and Nasdaq’s Brut and INET Facilities
Comments due: August 17, 2006
|
SR-NASD-2006-057 |
34-54160 |
Jul. 17, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Regarding the Pricing Schedule for NASD Members Using the Nasdaq Market Center and Nasdaq’s Brut and INET Facilities
Comments due: August 17, 2006
|
SR-NASD-2006-056 |
34-54003 |
Jun. 16, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 to Establish a Package of Real-Time and Near-Real-Time Data Products Called the Market Analytics Data Package
Comments due: July 14, 2006
Comments received
are available
for this notice.
|
SR-NASD-2006-055 |
34-53977 |
Jun. 12, 2006 |
Order Granting Approval of a Proposed Rule Change To Require Members To Report All Transactions that Must Be Reported to NASD and Are Subject to a Regulatory Transaction Fee to the Nasdaq Market Center and/or the Trade Reporting and Comparison Service
|
34-53748 |
May 2, 2006 |
Notice of Filing of a Proposed Rule Change to Require Members to Report All Transactions that Must Be Reported to NASD and Are Subject to a Regulatory Transaction Fee to the Nasdaq Market Center and/or the Trade Reporting and Comparison Service
Comments due: May 30, 2006
|
SR-NASD-2006-054 |
34-53730 |
Apr. 26, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change for Handling by INET and Brut of Sub-Penny Orders in Securities Listed on the New York Stock Exchange LLC or the American Stock Exchange LLC
Comments due: May 23, 2006
|
SR-NASD-2006-053 |
34-53787 |
May 11, 2006 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto to Establish Additional Routing Options in the INET System for Securities Listed on the New York Stock Exchange or the American Stock Exchange
Comments due: June 7, 2006
|
SR-NASD-2006-052 |
34-53819 |
May 17, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Reflect the Revised Effective Date of Certain Amendments to NASD’s Order Audit Trail System Rules
Comments due: June 13, 2006
|
SR-NASD-2006-051 |
34-53720 |
Apr. 25, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the Maximum Single Order Share Amount in Nasdaq’s INET Facility
Comments due: May 23, 2006
|
SR-NASD-2006-050 |
34-53699 |
Apr. 21, 2006 |
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: May 19, 2006
|
SR-NASD-2006-049 |
34-53675 |
Apr. 18, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Brut’s Routing Order Process
Comments due: May 16, 2006
|
SR-NASD-2006-048 |
34-53644 |
Apr. 13, 2006 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Modify Order Delivery Charges for Orders Delivered to Nasdaq Market Center Participants
Comments due: May 10, 2006
Comments received
are available
for this notice.
|
SR-NASD-2006-047 |
34-53696 |
Apr. 21, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NASD Rule 4500 Series to Describe an Application of Nasdaq's Authority to Waive Fees and to Make Certain Technical Changes
Comments due: May 19, 2006
|
SR-NASD-2006-046 |
34-53669 |
Apr. 18, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Technical Amendments to Rule 3080 (Disclosure to Associated Persons When Signing Form U-4)
Comments due: May 15, 2006
|
SR-NASD-2006-045 |
34-53743 |
Apr. 28, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Rule 2520 (Margin Requirements)
Comments due: May 30, 2006
|
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-2006-043 |
34-53617 |
Apr. 7, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Fee for the Brut Workstation
Comments due: May 5, 2006
|
SR-NASD-2006-041 |
34-53769 |
May 8, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, and Amendment No. 1 thereto, to Eliminate from The Nasdaq Stock Market Inc.’s Corporate Organizational Documents Certain Series of Preferred Stock
Comments due: June 2, 2006
|
SR-NASD-2006-040 |
34-53580 |
Mar. 30, 2006 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Expand NASD's Order Audit Trail System Exemptive Authority to Include Recording Requirements
Comments due: April 27, 2006
|
SR-NASD-2006-039 |
34-54952 |
Dec. 18, 2006 |
Order Granting Approval to Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Amend NASD Rules to Modify and Expand NASD’s Authority to Initiate Trading and Quotation Halts in OTC Equity Securities
|
34-53920 |
Jun. 1, 2006 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Amend NASD Rules to Modify and Expand NASD’s Authority to Initiate Trading and Quotation Halts in OTC Equity Securities
Comments due: June 28, 2006
Comments received
are available
for this notice.
|
SR-NASD-2006-038 |
34-53564 |
Mar. 29, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Proposed Amendments to NASD Rule 1013 to Adopt a Standardized New Member Application Form (Form NMA)
Comments due: April 25, 2006
|
SR-NASD-2006-037 |
34-53538 |
Mar. 22, 2006 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Extending the Effective Date of the Uniform Branch Office Definition and Related Interpretive Material and Extending the Transition Deadline for Compliance with Form BR and Form U4 Filing Requirements
Comments due: April 19, 2006
|
SR-NASD-2006-036 |
34-53509 |
Mar. 17, 2006 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Certification by the Chief Executive Officer under NASD Interpretive Material 3013
Comments due: April 17, 2006
|
SR-NASD-2006-035 |
34-53653 |
Apr. 14, 2006 |
Order Granting Accelerated Approval of Proposed Rule Change Relating to Proposed Amendments to IM 2110-2 to Codify NASD’s Existing Position that the Manning Rule applies to All Members, Whether Acting as a Market Maker or Not
|
34-53527 |
Mar. 21, 2006 |
Notice of Filing of Proposed Rule Change Relating to Proposed Amendments to IM-2110-2 to Codify NASD's Existing Position that the Manning Rule Applies to All Members, Whether Acting as a Market Maker or Not
Comments due: April 12, 2006
|
SR-NASD-2006-033 |
34-53541 |
Mar. 22, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendments No. 1 and 2 Thereto to Amend NASD Rule 11890
Comments due: April 19, 2006
|
SR-NASD-2006-032 |
34-53505 |
Mar. 16, 2006 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto to Reduce Routing Charges for Non-NASD Members
Comments due: April 13, 2006
|
SR-NASD-2006-031 |
34-53504 |
Mar. 16, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reduce Routing Charges for NASD Members
Comments due: April 13, 2006
|
SR-NASD-2006-030 |
34-54005 |
Jun. 16, 2006 |
Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto to Establish an Annual Administrative Fee for Market Data Distributors that are Recipients of Nasdaq Proprietary Data Products
|
34-53770 |
May 8, 2006 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Establish an Annual Administrative Fee for Market Data Distributors that are Recipients of Nasdaq Proprietary Data Products
Comments due: June 2, 2006
|
SR-NASD-2006-029 |
34-53542 |
Mar. 23, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Rule 6530 to Clarify the Removal Process for Securities of OTCBB Issuers that Fail to Remain Current with OTCBB Reporting Requirements
Comments due: April 19, 2006
Comments received
are available
for this notice.
|
SR-NASD-2006-028 |
34-53606 |
Apr. 6, 2006 |
Order Approving Proposed Rule Change to Allow Nasdaq to Take Certain Actions on behalf of Its Issuers in Connection with Nasdaq’s Transition to a National Securities Exchange |
34-53362 |
Feb. 24, 2006 |
Notice of Filing of Proposed Rule Change to Allow Nasdaq to Take Certain Actions on behalf of Its Issuers in Connection with Nasdaq's Transition to a National Securities Exchange
Comments due: March 23, 2006
|
SR-NASD-2006-027 |
34-53535 |
Mar. 21, 2006 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Establishing CTCI Station-Based Pricing for Non-Members
Comments due: April 19, 2006
|
SR-NASD-2006-026 |
34-53536 |
Mar. 21, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Establishing CTCI Station-Based Pricing for Members
Comments due: April 19, 2006
Comments received
are available
for this notice.
|
SR-NASD-2006-025 |
34-53346 |
Feb. 22, 2006 |
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 22, 2006
|
SR-NASD-2006-024 |
34-53321 |
Feb. 15, 2006 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Modify Pricing for Non-Members Using Nasdaq’s Brut and Inet Facilities
Comments due: March 16, 2006
|
SR-NASD-2006-023 |
34-53320 |
Feb. 15, 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 and Inet Facilities
Comments due: March 16, 2006
|
SR-NASD-2006-022 |
34-53474 |
Mar. 13, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Optional Routing of Orders in Nasdaq’s INET Facility
Comments due: April 10, 2006
|
SR-NASD-2006-021 |
34-53325 |
Feb. 16, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Extend the Time for Non-Member Broker/Dealers to Access the Brut and INET Facilities
Comments due: March 16, 2006
|
SR-NASD-2006-020 |
34-53440 |
Mar. 8, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Odd Lot Transactions in the Nasdaq Stock Market
Comments due: April 6, 2006
|
SR-NASD-2006-019 |
34-53233 |
Feb. 6, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Uniform Order Warning and Rejection Parameters for the Nasdaq Market Center
Comments due: March 3, 2006
|
SR-NASD-2006-018 |
34-53269 |
Feb. 10, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Modify the Routing Sequence for Directed Cross Orders
Comments due: March 9, 2006
|
SR-NASD-2006-017 |
34-53316 |
Feb. 15, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Short Sale Processing in Nasdaq’s INET Facility
Comments due: March 16, 2006
|
SR-NASD-2006-016 |
34-53203 |
Jan. 31, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Mechanism for Handling Sub-Penny Orders in Securities Listed on the New York Stock Exchange or the American Stock Exchange
Comments due: February 28, 2006
|
SR-NASD-2006-015 |
34-53687 |
Apr. 20, 2006 |
Order Approving Proposed Rule Change to Establish the Nasdaq Halt Cross
|
34-53488 |
Mar. 15, 2006 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Establish the Nasdaq Halt Cross
Comments due: April 11, 2006
|
SR-NASD-2006-014 |
34-53257 |
Feb. 8, 2006 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto to Modify the Pricing for Non-Members Using Nasdaq’s Brut and Inet Facilities
Comments due: March 8, 2006
|
SR-NASD-2006-013 |
34-53256 |
Feb. 8, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Establish a Unified Pricing Schedule for NASD Members Using the Nasdaq Market Center and Nasdaq’s Brut and Inet Facilities
Comments due: March 8, 2006
|
SR-NASD-2006-011 |
34-54217 |
Jul. 26, 2006 |
Order Approving a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Principal Pre-Use Approval of Member Correspondence to 25 or More Existing Retail Customers Within a 30 Calendar-Day Period
|
34-53333 |
Feb. 17, 2006 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Principal Pre-Use Approval of Member Correspondence to 25 or More Existing Retail Customers Within a 30 Calendar-Day Period
Comments due: March 21, 2006
Comments received
are available
for this notice.
|
SR-NASD-2006-009 |
34-53255 |
Feb. 8, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of the Fee Pilot for National Quotation Data Service
Comments due: March 8, 2006
|
SR-NASD-2006-008 |
34-53531 |
Mar. 21, 2006 |
Order Approving a Proposed Rule Change to Re-establish a Fee Pilot for National Quotation Data Service
|
34-53254 |
Feb. 8, 2006 |
Notice of Filing of Proposed Rule Change to Re-establish a Fee Pilot for National Quotation Data Service
Comments due: March 8, 2006
|
SR-NASD-2006-007 |
34-54755 |
Nov. 15, 2006 |
Order Approving Proposed Rule Change Relating to Option Position and Exercise Limits and Position Reporting Obligations; and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 Thereto
Comments due: December 19, 2006
|
34-53189 |
Jan. 30, 2006 |
Notice of Filing Proposed Rule Change Relating to Position Limits and Position Reporting Obligations for Conventional Index and Equity Options
Comments due: February 27, 2006
Comments received
are available
for this notice.
|
SR-NASD-2006-006 |
34-53187 |
Jan. 30, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Modify the Hours of Operation of Nasdaq's Brut System
Comments due: February 27, 2006
|
SR-NASD-2006-005 |
34-57964 |
Jun. 13, 2008 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Expand the Scope of NASD Rule 2440 and Interpretive Material 2440-1 Relating to Fair Prices and Commissions to Apply to All Securities Transactions
|
34-53562 |
Mar. 29, 2006 |
Notice of Filing of Proposed Rule Change to Expand the Scope of NASD Rule 2440 and Interpretive Material 2440 Relating to Fair Prices and Commissions to Apply to All Securities Transactions
Comments due: April 25, 2006
Comments received
are available
for this notice.
|
SR-NASD-2006-004 |
34-53192 |
Jan. 30, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Pilot Programs Relating to Multiple Market Participant Identifiers
Comments due: February 28, 2006
|
SR-NASD-2006-003 |
34-53149 |
Jan. 19, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Guidance Regarding Firms' Obligations under NASD Rule 2111 Regarding Market Order Protection
Comments due: February 21, 2006
|
SR-NASD-2006-002 |
34-53111 |
Jan. 12, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Related to Non-NASD Member Broker-Dealer Access to Nasdaq’s Brut Facility
Comments due: February 14, 2006
|
SR-NASD-2006-001 |
34-53142 |
Jan. 19, 2006 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto to Establish Generic Listing Standards for Index-Linked Securities
Comments due: February 15, 2006
|
http://www.sec.gov/rules/sro/nasd/nasdarchive/nasdarchive2006.shtml
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