Legal and Compliance - NASDAQ Rule Filimgs Except Listed Companies

NASDAQ Rule Filings (Except Listed Companies) – 2006

Rule Filing	Date	Purpose
SR-NASD-2006-132 Notice & Approval	12/01/06 12/13/06	Fees: Proposed Rule Change to Modify Pricing for NASD Members Using ITS/CAES and INET Facilities Affected Marketplace Rule: 7010(i)
SR-NASD-2006-130 Amendment 1 Notice & Approval	11/30/06 12/06/06 12/13/06	Fees: Proposed Rule Change to Extend a Pilot Program for NASD Members Using the ITS/CAES and INET Facilities Affected Marketplace Rule: 7010(i)
SR-NASD-2006-126 Amendment 1 Notice & Approval	11/13/06 11/22/06 12/08/06	Operations: Proposed Rule Change to Fully Integrate NASDAQ's Brut and INET Execution Systems Affected Marketplace Rule: Not Applicable
SR-NASD-2006-123 Amendment 1 Notice & Approval	11/07/06 11/30/06 12/05/06	Operations: Proposed Rule Change Related to Guidance for Adjudicating Clearly Erroneous Transactions Under Rule 11890 Affected Marketplace Rules: IM-11890-4 & IM-11890-5
SR-NASD-2006-122 Notice & Approval	11/01/06 11/13/06	Fees: Proposed Rule Change to Modify Pricing for NASD Members Using the ITS/CAES. Brut and INET Facilities Affected Marketplace Rule: 7010(i)
SR-NASD-2006-119 Notice & Approval	10/18/06 10/25/06	Operations: Proposed Rule Change to Enhance NASDAQ's INET Facility Order Routing Process for Reactive Only DOT Orders Affected Marketplace Rule: 4956
SR-NASD-2006-117 Notice & Approval	10/04/06 10/17/06	Operations: Proposed Rule Change to Enhance the Brut Directed Cross Order Affected Marketplace Rule: 4903
SR-NASD-2006-116 Notice & Approval	09/29/06 11/02/06	Fees: Proposed Rule Change to Modify Pricing for NASD Members Using ITS/CAES, Brut and INET Affected Marketplace Rule: 7010(i)
SR-NASD-2006-114 Notice & Approval	09/28/06 11/08/06	Operations: Proposal to Adopt an Automated Process for Opening Quotations of ITS/CAES Market Makers Affected Marketplace Rule: 4707
SR-NASD-2006-107 Notice & Approval	09/11/06 09/15/06	System Services: Proposal Related to Thru Orders for NASDAQ's INET Facility Affected Marketplace Rule: 4956
SR-NASD-2006-106 Notice & Approval	09/11/06 09/15/06	System Services: Proposal Related to the Market/Limit-on-Open Orders Sent to The American and New York Stock Exchanges Affected Marketplace Rules: 4903 and 4956
SR-NASD-2006-095 Amendment 1 Notice & Approval	08/01/06 09/20/06 09/25/06	Fees: Proposal to Modify the Fees for Non-NASD Members Subscribing to the New NASDAQ Workstation and Weblink ACT Affected Marketplace Rule: 7010(f)
SR-NASD-2006-094 Amendment 1 Notice & Approval	08/01/06 09/20/06 09/25/06	Fees: Proposal to Modify the Fees for the New NASDAQ Workstation and Weblink ACT Affected Marketplace Rule: 7010(f)
SR-NASD-2006-093 Notice & Approval	07/31/06 08/28/06	Fees: Proposal Regarding the Pricing Schedule for Non-NASD Members Using the Brut and INET Facilities to Trade Securities Not Listed on The NASDAQ Stock Market LLC Affected Marketplace Rule: 7010(i)
SR-NASD-2006-092 Notice & Approval	07/31/06 08/28/06	Fees: Proposal Regarding the Pricing Schedule for NASD Members Using the ITS/CAES System and the Brut and INET Facilities to Trade Securities Not Listed on The NASDAQ Stock Market LLC Affected Marketplace Rule: 7010(i)
SR-NASD-2006-080 Amendment 1 Notice & Approval	07/03/06 07/05/06 08/01/06	NASDAQ Facilities: Proposal to Allow the Continued Participation of Broker-Dealers That Are Not NASD Members Through September 1, 2006 Affected Marketplace Rules: 4901 and 4952
SR-NASD-2006-079 Amendment 1 Amendment 2 Notice & Approval	06/30/06 07/25/06 07/26/06 08/03/06	Fees: Proposal to Modify the Pricing Schedule for Non-NASD Members Utilizing NASDAQ Facilities Affected Marketplace Rule: 7010(i)
SR-NASD-2006-078 Amendment 1 Amendment 2 Notice & Approval	06/30/06 07/25/06 07/26/06 08/03/06	Fees: Proposal to Modify the Pricing Schedule for NASD Members Utilizing NASDAQ Facilities Affected Marketplace Rule: 7010(i)
SR-NASD-2006-077 Notice & Approval	06/22/06 06/30/06	Fees: Proposal to Adopt a Revenue Sharing Program for the Trade Reporting Service of the NASDAQ Market Center Affected Marketplace Rules: 7010(g) and 7010(u)
SR-NASD-2006-076 Notice Extension Approval	06/15/06 06/16/06 07/27/06 10/02/06	NASDAQ-100 Index: Proposal to Exempt All Securities Included in the NASDAQ-100 Index From the Price Test Set Forth in NASD Rule 3350(a) Affected Marketplace Rule: 3350(c)
SR-NASD-2006-072 Notice & Approval	06/05/06 06/16/06	Fees: Proposal to Modify the Fees for Trading and Compliance Data Available to NASD Firms Via NASDAQTrader.com Affected Marketplace Rule: 7010(n)
SR-NASD-2006-068 Amendment 1 Amendment 2 Amendment 3 Amendment 4 Notice & Approval	05/30/06 06/09/06 06/15/06 06/27/06 06/29/06 06/29/06	Listing Standards: Proposal to Rename The NASDAQ National Market as The NASDAQ Global Market and to Create The NASDAQ Global Select Market, a New Segment Within The NASDAQ Global Market With Higher Listing Standards Affected Marketplace Rules: 3350 & IM-3350, 4200, Series 4300, 4400, and 4500, 4701, 6120 and 7024
SR-NASD-2006-067 Notice & Approval	05/30/06 06/19/06	Fees: Proposal to Modify the Methodology for Determining Credits Under NASD Rule 7010(c)(2) Affected Marketplace Rule: 7010(c)(2)
SR-NASD-2006-061 Amendment 1 Notice & Approval	05/12/06 05/15/06 06/01/06	Fees: Proposal to Establish Pricing for NASDAQ's IPO/Halt Cross Affected Marketplace Rule: 7010(i)
SR-NASD-2006-059 Amendment 1 Notice & Approval	05/01/06 05/16/06 05/18/06	NASDAQ Facilities: Proposal to Allow the Continued Participation of Broker-Dealers That Are Not NASD Members Through July 1, 2006 Affected Marketplace Rules: 4901 and 4952
SR-NASD-2006-058 Amendment 1 Notice & Approval	05/01/06 06/12/06 07/17/06	Fees: Proposal to Modify the Pricing Schedule for Non-NASD Members Utilizing NASDAQ Facilities Affected Marketplace Rule: 7010(i)
SR-NASD-2006-057 Amendment 1 Notice & Approval	05/01/06 06/12/06 07/17/06	Fees: Proposal to Modify the Pricing Schedule for NASD Members Utilizing NASDAQ Facilities Affected Marketplace Rule: 7010(i)
SR-NASD-2006-056 Amendment 1 Notice & Approval	04/24/06 06/08/06 06/16/06	System Services: Proposal to Establish a New Package of Real-Time and Near-Real-Time Data Products Called the "NASDAQ Market Analytics Data Package" and Associated Fees Affected Marketplace Rule: 7010(y)
SR-NASD-2006-054 Notice & Approval	04/21/06 04/26/06	Subpenny Orders: Proposal to Change the Handling by NASDAQ's INET and Brut Facilities of Subpenny Orders in NYSE or AMEX Listed Securities Affected Marketplace Rules: 4904 and 4962
SR-NASD-2006-053 Amendment 1 Notice & Approval	04/21/06 05/05/06 05/11/06	NASDAQ's INET Facility: Proposal to Establish Additional Routing Options For Securities Listed on the NYSE or AMEX Affected Marketplace Rule: 4956
SR-NASD-2006-051 Notice & Approval	04/19/06 04/25/06	NASDAQ's INET Facility: Proposal to Expand the Maximum Single Order Share Amount Affected Marketplace Rule: 4953
SR-NASD-2006-049 Notice & Approval	04/13/06 04/18/06	NASDAQ's Brut Facility: Proposal to Modify the Routing Order Process Affected Marketplace Rules: 4714 and 4905
SR-NASD-2006-043 Notice & Approval	03/31/06 04/07/06	Fees: Proposal to Modify the Pricing for NASD Members Using NASDAQ's Brut Facility Affected Marketplace Rule: 7010(f)
SR-NASD-2006-041 Amendment 1 Notice & Approval	03/31/06 04/24/06 05/08/06	The NASDAQ Stock Market, Inc.: Proposal to Eliminate From NASDAQ's Corporate Organizational Documents Certain Series of Preferred Stock Affected Marketplace Rule: Not Applicable
SR-NASD-2006-033 Amendment 1 Amendment 2 Notice & Approval	03/01/06 03/13/06 03/21/06 03/22/06	Clearly Erroneous Transactions: Proposal to Clarify NASD Rule 11890 Regarding the Procedures for Reviewing Transactions Affected Marketplace Rule: 11890
SR-NASD-2006-032 Amendment 1 Notice & Approval	03/01/06 03/15/06 03/16/06	Fees: Proposal to Reduce Routing Charges for Non-NASD Members That Use NASDAQ Facilities and to Eliminate a Volume-Based Port Fee Waiver for Non-NASD Members That Use NASDAQ's INET Facility Affected Marketplace Rule: 7010
SR-NASD-2006-031 Notice & Approval	03/01/06 03/16/06	Fees: Proposal to Reduce Routing Charges for NASD Members That Use NASDAQ Facilities and to Eliminate a Volume-Based Port Fee Waiver for NASD Members That Use NASDAQ's INET Facility Affected Marketplace Rule: 7010
SR-NASD-2006-030 Amendment 1 Notice Approval	02/27/06 04/17/06 05/08/06 06/16/06	Fees: Proposal to Establish a New NASDAQ Annual Administrative Fee For Market Data Distributors That Receive Any Proprietary NASDAQ Data Feed Product Affected Marketplace Rule: 7010
SR-NASD-2006-027 Amendment 1 Amendment 2 Notice & Approval	02/22/06 03/10/06 03/15/06 03/21/06	Fees: Proposal to Modify Non-Member Fees for NASDAQ Access Through Computer to Computer Interface ("CTCI") Protocol Affected Marketplace Rule: 7010
SR-NASD-2006-026 Amendment 1 Notice & Approval	02/22/06 03/10/06 83/21/06	Fees: Proposal to Modify Member Fees for NASDAQ Access Through Computer to Computer Interface ("CTCI") Protocol Affected Marketplace Rule: 7010
SR-NASD-2006-024 Notice & Approval	02/13/06 02/15/06	Fees: Proposal to Modify the Pricing Schedule for Non-NASD Members Utilizing NASDAQ Facilities To Trade Securities Under $1.00 Affected Marketplace Rule: 7010
SR-NASD-2006-023 Amendment 1 Notice & Approval	02/13/06 02/14/06 02/15/06	Fees: Proposal to Modify the Pricing Schedule for NASD Members Utilizing NASDAQ Facilities To Trade Securities Under $1.00 Affected Marketplace Rule: 7010
SR-NASD-2006-022 Amendment 1 Notice & Approval	02/10/06 03/09/06 03/13/06	NASDAQ's INET Facility: Proposal to Establish New Routing Option That Will Permit Users to Elect That Orders Directed to The NYSE and AMEX, After Checking the INET Book, First Be Routed for Potential Execution to the NASDAQ Market Center and/or NASDAQ's Brut Facility Before Being Delivered to the NYSE or AMEX Affected Marketplace Rule: 4956
SR-NASD-2006-021 Amendment 1 Notice & Approval	02/07/06 02/08/06 02/16/06	NASDAQ Facilities: Proposal to Allow the Continued Participation of Broker-Dealers That Are Not NASD Members Through May 1, 2006 Affected Marketplace Rules: 4901 and 4952
SR-NASD-2006-020 Amendment 1 Notice & Approval	02/06/06 02/27/06 03/08/06	Order Execution: Proposal to Amend Rule 4706(d) to Permit ITS/CAES Market Makers to Enter Orders in Increments Less Than 100 Shares Affected Marketplace Rule: 4706
SR-NASD-2006-019 Notice & Approval	02/03/06 02/06/06	Order Execution: Proposal to Create Uniform Order Validation Parameters in The NASDAQ Market Center Affected Marketplace Rule: 4710
SR-NASD-2006-018 Amendment 1 Notice & Approval	02/02/06 02/09/06 02/10/06	Directed Cross Orders: Proposal to Add INET to the Routing Sequence In Exchange-Listed Securities Directed to the NYSE and to Allow Subscribers to Determine Whether They Wish to Route to Market Centers in Addition to NASDAQ Facilities Prior to the NYSE Affected Marketplace Rule: 4903
SR-NASD-2006-017 Notice & Approval	02/02/06 02/15/06	Short Sales: Proposal to Explain the Process By Which NASDAQ’s INET Facility Adjusts Order Process to Comply With Regulations Governing Short Sales Affected Marketplace Rule: 4953
SR-NASD-2006-016 Notice & Approval	01/31/06 01/31/06	Subpenny Orders: Proposal to Establish a Mechanism for Handling Subpenny Orders in NYSE and AMEX Listed Securities Affected Marketplace Rules: 4962 and 6330
SR-NASD-2006-015 Amendment 1 Amendment 2 Notice Amendment 3 Approval	01/31/06 02/16/06 03/06/06 03/15/06 04/17/06 04/20/06	Opening Process: Proposal to Improve the Opening Process for NASDAQ Securities That Are Subject of a Trading Halt Initiated Pursuant to Rule 4120(a) Affected Marketplace Rules: 4120 and 4703
SR-NASD-2006-014 Amendment 1 Notice & Approval	01/30/06 02/01/06 02/08/06	Fees: Proposal to Modify the Pricing Schedule for Non-NASD Members Utilizing NASDAQ Facilities Affected Marketplace Rule: 7010
SR-NASD-2006-013 Amendment 1 Notice & Approval	01/30/06 02/01/06 02/08/06	Fees: Proposal to Modify the Pricing Schedule for NASD Members Utilizing NASDAQ Facilities Affected Marketplace Rule: 7010
SR-NASD-2006-009 Notice & Approval	01/24/06 02/08/06	National Quotation Data Service: Proposal to Extend the Pilot Program Under Rule 7010(h), That Reduces the Monthly Fee Paid by Non- Professional Users, Through December 29, 2006 Affected Marketplace Rule: 7010(h)
SR-NASD-2006-008 Notice Approval	01/24/06 02/08/06 03/21/06	National Quotation Data Service: Proposal to Re-Establish the Pilot Program Under Rule 7010(h), That Reduces the Monthly Fee Paid by Non-Professional Users Affected Marketplace Rule: 7010(h)
SR-NASD-2006-006 Amendment 1 Notice & Approval	01/20/06 01/25/06 01/30/06	NASDAQ's Brut Facility: Proposal to Modify the Hours of Operations Affected Marketplace Rule: 4912
SR-NASD-2006-004 Notice & Approval	01/12/06 01/30/06	Supplemental Market Participant Identifiers ("MPIDs"): Proposal to Extend the Two Pilot Programs Under Rules 4613(a)(2) and 5266(b) Until November 30, 2006 Affected Marketplace Rules: 4613(a)(2) and 5266(b)
SR-NASD-2006-002 Amendment 1 Notice & Approval	01/03/06 01/12/06 01/12/06	NASDAQ's Brut Facility: Proposal to Allow the Continued Participation of Broker-Dealers That Are Not NASD Members Through February 8, 2006 Affected Marketplace Rule: 4901(i)