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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


Chronological List
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.
* Submit comments on SR-NASD-2006-103

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.
* Submit comments on SR-NASD-2006-088

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.
* Submit comments on SR-NASD-2005-114

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.
* Submit comments on SR-NASD-2006-048

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


NASD File Number List
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.
* Submit comments on SR-NASD-2006-103

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.
* Submit comments on SR-NASD-2006-088

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.
* Submit comments on SR-NASD-2006-048

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


Modified: 06/17/2008