| Rule Filing
|
Date
|
Purpose
|
SR-NASD-2005-156
Amendment 1
Notice & Approval
|
12/30/05
01/27/06
02/15/06
|
Application Programming Interface ("API"): Proposal to Modify Fees for Continued Use by NASD Members of the API Access Protocol
Affected Marketplace Rule: 7010(f)
|
SR-NASD-2005-155
Amendment 1
Notice & Approval
|
12/28/05
12/30/05
01/09/06
|
Fees: Proposal to Extend the Pilot Program to Modify the Combined NASDAQ Market Center and Brut Facility Pricing Schedule for Non-NASD Members
Affected Marketplace Rule: 7010
|
SR-NASD-2005-154
Amendment 1
Notice & Approval
|
12/28/05
12/30/05
01/09/06
|
Fees: Proposal to Extend the Pilot Program to Modify the Combined NASDAQ Market Center and Brut Facility Pricing Schedule for NASD Members
Affected Marketplace Rule: 7010
|
SR-NASD-2005-150
Notice & Approval
|
12/21/05
12/22/05
|
Pricing Increments: Proposal to Align NASDAQ's Rules on Minimum Bid Pricing Increments With the Corresponding Provisions of the SEC's Regulation NMS
Affected Marketplace Rules:4613, 4701, 4710, 4901, 4904 and 6330
|
SR-NASD-2005-149
Amendment 1
Notice & Approval
|
12/15/05
01/06/06
01/10/06
|
Short Sales Rule: Proposal Related to the Extension of the Short Sale Rule and Continued Suspension of Primary Market Maker Standards Set Forth in Rule 4612
Affected Marketplace Rule: 3350
|
SR-NASD-2005-148
Notice & Approval
|
12/09/05
12/22/05
|
Fees: Proposal to Make Additions and Corrections to the Fees Governing NASDAQ's INET Facility for Non-NASD Members
Affected Marketplace Rule: 7010(w)
|
SR-NASD-2005-147
Notice & Approval
|
12/09/05
12/22/05
|
Fees: Proposal to Make Additions and Corrections to the Fees Governing NASDAQ's INET Facility for NASD Members
Affected Marketplace Rule: 7010(w)
|
SR-NASD-2005-145
Amendment 1
Notice & Approval
|
12/08/05
12/21/05
12/23/05
|
The NASDAQ Stock Market, Inc.: Proposal to Adopt a Certificate of Designation, Preferences and Rights for the Series D Preferred Stock
Affected Marketplace Rules: Not Applicable
|
SR-NASD-2005-141
Amendment 1
Notice & Approval
|
12/05/05
12/09/05
12/19/05
|
Fees: Proposal to Modify the Execution Fees for Quotes and Orders Executed in the NASDAQ Opening Cross
Affected Marketplace Rule: 7010(i)(4)
|
SR-NASD-2005-140
Amendment 1
Amendment 2
Notice
Approval
|
12/02/05
02/28/06
04/24/06
05/01/06
07/05/06
|
NASDAQ Crossing Network: Proposal to Establish the NASDAQ Crossing Network for NASDAQ-Listed and Certain Exchange-Listed Securities
Affected Marketplace Rule: 4716
|
SR-NASD-2005-138
Notice & Approval
|
11/22/05
12/09/05
|
Fees - Pilot Program: Proposal to Modify the Combined NASDAQ Market Center and Brut Facility Pricing Schedule for Non-NASD Members
Affected Marketplace Rule: 7010
|
SR-NASD-2005-137
Notice & Approval
|
11/22/05
12/09/05
|
Fees - Pilot Program: Proposal to Modify the Combined NASDAQ Market Center and Brut Facility Pricing Schedule for NASD Members
Affected Marketplace Rule: 7010
|
SR-NASD-2005-128
Notice
Approval
|
11/01/05
11/02/05
12/07/05
|
Fees: Proposal to Establish Rules Governing the Operations of NASDAQ's INET Trading Facility and Fees for its Services
Affected Marketplace Rules: 4950 - 4959, 4960 - 4963, and 7010(w)
|
SR-NASD-2005-127
Notice & Approval
|
11/01/05
11/22/05
|
Fees: Proposal to Modify the Fee Structure for the "Browse/Query" Function of the Trade Reporting Service of The NASDAQ Market Center
Affected Marketplace Rule: 7010
|
SR-NASD-2005-126
Notice & Approval
|
10/26/05
11/09/05
|
Fees: Proposal to Modify the Combined NASDAQ Market Center and Brut Facility Pricing Schedule for Non-NASD Members
Affected Marketplace Rule: 7010
|
SR-NASD-2005-125
Notice & Approval
|
10/26/05
11/09/05
|
Fees: Proposal to Modify the Combined NASDAQ Market Center and Brut Facility Pricing Schedule for NASD Members
Affected Marketplace Rule: 7010
|
SR-NASD-2005-115
Notice & Approval
|
09/22/05
10/03/05
|
Clearly Erroneous Transactions: Proposal to Clarify Scope of Recent Changes to NASD Rule 11890
Affected Marketplace Rule: 11890
|
SR-NASD-2005-113
Notice & Approval
|
09/22/05
09/27/05
|
New Order Type: Proposal to Create a Voluntary Proactive Limit Order Type, That When Locked or Crossed By Another Market Center, Will Be Automatically Routed to That Market Center for Execution
Affected Marketplace Rules: 4701 and 4706
|
SR-NASD-2005-108
Notice & Approval
Press Release
|
09/13/05
09/21/05
09/27/05
|
Change in Name: Proposal to Rename The NASDAQ SmallCap Market as The NASDAQ Capital Market
Affected Marketplace Rules: 4200, 4200A, 4310, 4320, 4350, 4350-1, 4320, 4420, 4450, 4510, 4520, 4550, 4640, 4643, 5410, 6110, 6110A, 6120, IM-6130, 6150 and 7010
|
SR-NASD-2005-107
Amendment 1
Notice & Approval
|
09/08/05
09/14/05
09/15/05
|
Pegging Orders: Proposal to Modify the Order-Pegging Functionality of The NASDAQ Market Center
Affected Marketplace Rules: 4701, 4706, 4707 and 4710
|
SR-NASD-2005-102
Amendment 1
Notice & Approval
Correction
|
08/26/05
08/31/05
09/01/05
09/07/05
|
Trade Reporting: Proposal to Allow Members to Report Certain Trades in Exchange-Listed Securities Through the Execution Services of The NASDAQ Market Center
Affected Marketplace Rule: 4720
|
SR-NASD-2005-099
Extension of Time
Amendment 1
Notice
Approval
|
08/19/05
08/30/05
09/30/05
10/07/05
12/06/05
|
The NASDAQ Stock Market, Inc.: Proposal to Change NASDAQ's Restated Certificate of Incorporation
Affected Marketplace Rules: Not Applicable
|
SR-NASD-2005-091
Notice & Approval
|
07/20/05
07/28/05
|
Opening Process: Proposal to Modify Opening Process for Initial Public Offerings of NASDAQ-Listed Securities
Affected Marketplace Rule: 4904(c)(1)
|
SR-NASD-2005-090
Amendment 1
Notice & Approval
|
07/19/05
07/28/05
07/29/05
|
NASDAQ’S Brut Facility: Proposal to Modify the Directed Order Process
Affected Marketplace Rules: 4903(b)(1) and 4905(a)(4)
|
SR-NASD-2005-088
Notice & Approval
|
07/15/05
07/25/05
|
NASDAQ’S Brut Facility: Proposal to Extend the Ability of Non-NASD Member Firms to Use NASDAQ's Brut Facility
Affected Marketplace Rule: 4901(i)
|
SR-NASD-2005-081
Notice & Approval
|
06/22/05
06/30/05
|
NASDAQ’S Brut Facility: Proposal to Modify the Single Order Total Dollar Amount
Affected Marketplace Rule: 4903(f)
|
SR-NASD-2005-076
Notice & Approval
|
06/16/05
06/28/05
|
Fees: Proposal to Modify the NASDAQ Testing Facility Fee Schedule for NASD Members
Affected Marketplace Rule: 7050(d)
|
SR-NASD-2005-075
Notice & Approval
|
06/16/05
06/28/05
|
Fees: Proposal to Modify the NASDAQ Testing Facility Fee Schedule for Non-NASD Members
Affected Marketplace Rule: 7050(d)
|
SR-NASD-2005-072
Amendment 1
Amendment 2
Notice & Approval
|
06/01/05
06/09/05
07/02/05
07/20/05
|
Fees: Proposal to Modify the Combined NASDAQ Market Center and Brut Facility Pricing Schedule for Non-NASD Members
Affected Marketplace Rule: 7010
|
SR-NASD-2005-071
Amendment 1
Notice & Approval
|
06/01/05
06/09/05
07/20/05
|
Fees: Proposal to Modify the Combined NASDAQ Market Center and Brut Facility Pricing Schedule for NASD Members
Affected Marketplace Rule: 7010 |
SR-NASD-2005-069
Notice & Approval
|
05/25/05
06/09/05
|
Market Participant Identifiers ("MPIDs"): Proposal to Extend Two Pilot Programs Under Rule 4613(a)(2) and 5266(b)
Affected Marketplace Rules: 4613(a)(2) and 5266(b) |
SR-NASD-2005-068
Notice
Approval
|
05/25/05
06/16/05
07/27/05
|
New Order Type: Proposal to Establish a New Order Type ("Total Good-till-Cancelled Order") to be Eligible for Execution During Pre-Market Trading Session
Affected Marketplace Rules: 4701(tt), 4704(b)(1) and 4704(b)(3)
|
SR-NASD-2005-065
Notice & Approval
|
05/20/05
06/15/05
|
Exchange-Listed Securities: Proposal to Modify the NASDAQ Market Center’s Opening Time for Trade Reporting
Affected Marketplace Rule: 6420(a)(3)(A)
|
SR-NASD-2005-062
Amendment 1
Notice & Approval
|
05/12/05
06/09/05
06/13/05
|
Trade Reporting Rules: Proposal to Modify Rules to Reflect Implementation of NASD 2003-159
Affected Marketplace Rules: 4632, 4642, 4652, 5430, 6130, 6420 and 6620
|
SR-NASD-2005-060
Notice
Approval
|
05/10/05
06/14/05
07/22/05
|
NASDAQ's ModelView Entitlement: Proposal to Establish a New Data Product and Fee
Affected Marketplace Rule: 7010(q)
|
SR-NASD-2005-059
Amendment 1
Notice
Amendment 2
Approval
|
05/10/05
06/08/05
06/13/05
09/14/05
09/27/05
|
Mutual Fund Quotation Service ("MFQS"): Proposal to Modify Annual and Administrative Fees
Affected Marketplace Rule: 7090
|
SR-NASD-2005-057
Notice
Approval
|
04/22/05
08/18/05
09/29/05
|
Summary Orders: Proposal to Allow All Eligible NASDAQ Market Center Participants to Enter Summary Orders in NASDAQ-Listed and Exchange-Listed Securities
Affected Marketplace Rules: 4701 and 4706
|
SR-NASD-2005-056
Amendment 1
Notice
Approval
|
04/21/05
05/02/05
05/09/05
07/28/05
|
Execution Services: Proposal to Eliminate the Directed Order Process in The NASDAQ Market Center
Affected Marketplace Rules: 4701, 4706 and 4710
|
SR-NASD-2005-054
Notice
Amendment 1
Approval
|
04/19/05
04/28/05
05/25/05
05/25/05
|
The NASDAQ Stock Market, Inc.: Proposal to Change the Existing Classified Board Structure to Permit the Annual Election of Directors
Affected Marketplace Rules: Not Applicable
|
SR-NASD-2005-051
Amendment 1
Notice
Approval
|
04/13/05
06/03/05
06/17/05
09/02/05
|
NASDAQ TotalView Entitlement: Proposal to Establish an Enterprise License Option and Fees
Affected Marketplace Rule: 7010(q)
|
SR-NASD-2005-050
Notice & Approval
|
04/11/05
04/11/05
|
Opening Process: Proposal to Modify Pre-Market Trading Session Opening Time
Affected Marketplace Rules: 4701 and 4704
|
SR-NASD-2005-049
Amendment 1
Amendment 2
Notice & Approval
|
04/08/05
04/12/05
04/27/05
04/28/05
|
Fees: Proposal to Modify Fees for Trade Execution Services in Exchange-Listed Securities for Non-NASD Members
Affected Marketplace Rule: 7010(i)(6)
|
SR-NASD-2005-048
Notice & Approval
|
04/08/05
04/22/05
|
Fees: Proposal to Modify Fees for Trade Execution Services in Exchange-Listed Securities for NASD Members
Affected Marketplace Rule: 7010(i)(5)
|
SR-NASD-2005-042
Notice & Approval
|
03/30/05
04/20/05
|
Fees: Proposal to Establish Fees for the New NASDAQ Workstation for Non-NASD Members
Affected Marketplace Rule: 7010(f)
|
SR-NASD-2005-041
Notice & Approval
|
03/30/05
04/20/05
|
Fees: Proposal to Establish Fees for the New NASDAQ Workstation for NASD Members
Affected Marketplace Rule: 7010(f)
|
SR-NASD-2005-039
Notice
Approval
|
03/30/05
05/11/05
06/19/05
|
NASDAQ’s TotalView Entitlement: Incorporation of Brut’s System Book Feed
Affected Marketplace Rule: 7010(q)
|
SR-NASD-2005-038
Notice & Approval
|
03/28/05
04/06/05
|
Fees: Proposal to Modify the Combined NASDAQ Market Center and Brut Facility Pricing Schedule for Non-NASD Members
Affected Marketplace Rule: 7010
|
SR-NASD-2005-037
Amendment 1
Notice & Approval
|
03/24/05
05/10/05
05/27/05
|
Fees: Proposal to Modify Financial Information Exchange ("FIX") Fees for Non-NASD Members
Affected Marketplace Rule: 7010(f)
|
SR-NASD-2005-036
Amendment 1
Notice & Approval
|
03/24/05
05/10/05
05/27/05
|
Fees: Proposal to Modify Financial Information Exchange ("FIX") Fees for NASD Members
Affected Marketplace Rule: 7010(f)
|
SR-NASD-2005-035
Notice & Approval
|
03/28/05
04/06/05
|
Fees: Proposal to Modify the Combined NASDAQ Market Center and Brut Facility Pricing Schedule for NASD Members
Affected Marketplace Rule: 7010
|
SR-NASD-2005-034
Amendment 1
Notice & Approval
|
03/23/05
03/24/05
03/30/05
|
Limited Liability Rule: Proposal to Establish Limited Compensation for Losses Due to NASDAQ/Brut System Malfunctions
Affected Marketplace Rules: 4705(i) and 4913
|
SR-NASD-2005-031
Notice & Approval
|
03/14/05
03/16/05
|
Order Imbalance Indicator: Proposal to Modify Rule Regarding Dissemination Prior to the NASDAQ Opening Cross
Affected Marketplace Rule: 4704(d)(1)
|
SR-NASD-2005-029
Notice & Approval
|
03/04/05
03/16/05
|
Order Imbalance Indicator: Proposal to Modify Rule Regarding Dissemination Prior to the NASDAQ Opening Cross
Affected Marketplace Rule: 4704(d)(1)
|
SR-NASD-2005-028
Notice & Approval
|
02/17/05
03/04/05
|
NASDAQ PostData: Proposal Regarding the Discontinuation of the Pilot Program Permitting the Dissemination of Information
Affected Marketplace Rule: 7010(s)
|
SR-NASD-2005-027
Notice & Approval
|
02/14/05
02/28/05
|
Trade Reporting Rules: Proposal to Clarify Members' Reporting Obligations Regarding Cancelled Trades Previously Submitted in The NASDAQ Market Center
Affected Marketplace Rules: 4632(g), 4642(g), 4652(g), 6420(f) and 6620(f)
|
SR-NASD-2005-020
Notice & Approval
|
02/01/05
02/17/05
|
Fees: Proposal to Modify the Combined NASDAQ Market Center and Brut Facility Pricing Schedule for Non-NASD Members
Affected Marketplace Rule: 7010
|
SR-NASD-2005-019
Notice & Approval
|
02/01/05
02/17/05
|
Fees: Proposal to Modify the Combined NASDAQ Market Center and Brut Facility Pricing Schedule for NASD Members
Affected Marketplace Rule: 7010
|
SR-NASD-2005-017
Amendment 1
Notice & Approval
|
01/31/05
02/15/05
02/18/05
|
Total Day Orders: Proposal to Extend the Pilot Program Regarding the Rejection of Total Day Orders Prior to Market Open
Affected Marketplace Rule: 4701
|
SR-NASD-2005-016
Notice & Approval
|
01/31/05
02/09/05
|
Fees: Proposal to Modify the NASDAQ Information Protocol Fees
Affected Marketplace Rule: 7010
|
SR-NASD-2005-011
Amendment 1
Amendment 2
Amendment 3
Notice
Extension of Time
Approval
|
01/28/05
05/10/05
06/24/05
08/15/05
08/18/05
09/27/06
11/16/05
|
OTCBB: Proposal to Limit Eligibility for Quotation Due to Repeated Filing Delinquencies
Affected Marketplace Rule: 6530
|
SR-NASD-2005-010
Amendment 1
Notice & Approval
|
01/25/05
02/16/05
02/17/05
|
Autoquoting and Computer-Generated Quoting: Proposal to Modify Restrictions on NASDAQ-Listed Stocks
Affected Marketplace Rules: 4705 and IM-4613
|
SR-NASD-2005-002
Amendment 1
Notice & Approval
|
01/07/05
01/28/05
02/09/05
|
Execution Services: Proposal to Provide New Options for Connecting to The NASDAQ Market Center and Related Fees
Affected Marketplace Rule: 7010
|
