| Rule Filing
|
Date
|
Purpose
|
SR-NASD-2004-188
Notice & Approval
|
12/20/04
12/22/04
|
Other Securities: Proposal Regarding the Listing and Trading of Performance Leveraged Upside Securities ("PLUS") Linked to NASDAQ-100
Affected Marketplace Rules: 4420(f) and 4450(c)
|
SR-NASD-2004-166
Notice
Approval
|
10/28/04
11/03/04
12/15/04
|
Fees: Proposal to Modify Fee Schedule for Other Securities
Affected Marketplace Rule: 4530
|
SR-NASD-2004-162
Amendment 1
Amendment 2
Notice
Approval
Bulletin
|
10/25/04
05/11/05
08/18/05
09/14/05
11/01/05
11/15/05
|
Substitution Listing Events: Proposal to Establish Notice and Fee Requirements and to Add Additional Transparency to the Record-Keeping Fees
Affected Marketplace Rules: 4200, 4310, 4320, 4510 and 4520
|
SR-NASD-2004-157
Notice & Approval
|
10/20/04
11/19/04
|
Other Securities: Proposal Regarding the Listing and Trading of Performance Leveraged Upside Securities ("PLUS") Linked to Russell 2000 Index
Affected Marketplace Rules: 4420(f) and 4450(c)
|
SR-NASD-2004-147
Notice
Amendment 1
Approval
Bulletin to Issuers
|
09/30/04
10/14/04
11/24/04
11/29/04
02/11/05
|
Bid Price Compliance Periods and Foreign Issuers: Proposal to Modify Listing Standards
Affected Marketplace Rules: 4310, 4320, 4550, 4820 and IM-4350-1
|
SR-NASD-2004-142
Amendment 1
Notice
Approval
|
09/27/04
11/12/04
11/29/04
01/10/05
|
Fees: Proposal to Clarify the Fees Assessed for Companies with a Dual Listing on The New York Stock Exchange and The NASDAQ Stock Market
Affected Marketplace Rules: 4510 and 4520
|
SR-NASD-2004-140
Amendment 1
Notice
Approval
|
09/17/04
11/12/04
11/29/04
01/10/05
|
Fees: Proposal to Eliminate Entry and Application Fees for Exchange-Listed Issuers Transferring Listings to The NASDAQ Stock Market
Affected Marketplace Rules: 4510 and 4520
|
SR-NASD-2004-139
Amendment 1
Notice
Amendment 2
Approval
|
09/15/04
03/21/05
03/23/05
05/31/05
06/21/05
|
Other Securities: Proposal Regarding the Listing and Trading of Leveraged Index Return Notes Linked to Dow Jones Industrial Average
Affected Marketplace Rules: 4420(f) and 4450(c)
|
SR-NASD-2004-132
Amendment 1
Notice & Approval
|
08/30/04
10/21/04
11/23/04
|
Other Securities: Proposal Regarding the Listing and Trading of Accelerated Return Notes Linked to the Russell 2000 Index
Affected Marketplace Rules: 4420(f) and 4450(c)
|
SR-NASD-2004-131
Amendment 1
Amendment 2
Notice
Amendment 3
Approval
|
08/30/04
03/21/05
05/31/05
07/05/05
08/02/05
08/17/05
|
Other Securities: Proposal Regarding the Listing and Trading of Leveraged Index Return Notes Linked to the Nikkei 225 Index
Affected Marketplace Rules: 4420(f) and 4450(c)
|
SR-NASD-2004-128
Notice
Approval
|
08/24/04
10/21/04
12/10/04
|
Fees: Proposal to Modify Annual Fee Schedule for Issuers Trading on The NASDAQ Stock Market
Affected Marketplace Rules: 4510, 4520 and IM-4520-1
|
SR-NASD-2004-125
Amendment 1
Notice
Extension of Time
Extension of Time
Amendment 2
Extension of Time
Approval
|
08/17/04
02/09/05
02/28/05
04/25/05
06/22/05
07/01/05
07/14/05
08/26/05
|
NASDAQ Listing Determinations: Proposal to Clarify Procedures for Denying Listing on The NASDAQ Stock Market
Affected Marketplace Rules: IM-4120, 4300 and IM-4300, 4340, 4350(i) and IM-4350-1, 4410 and Series 4800 and IM-4803
|
SR-NASD-2004-109
Notice
Approval
|
07/14/04
08/11/04
09/28/04
|
Foreign Issuers: Proposal to Increase Listing Standards
Affected Marketplace Rule: 4320
|
SR-NASD-2004-105
Amendment 1
Notice
Approval
|
07/07/04
08/20/04
08/26/04
10/20/04
|
Foreign Issuers and Foreign Private Issuers: Proposal to Require Disclosure of Certain Code of Conduct Waivers
Affected Marketplace Rules: 4350(n) and IM-4350-7
|
SR-NASD-2004-086
Amendment 1
Notice & Approval
|
05/28/04
06/16/04
06/22/04
|
Director Independence: Proposal to Provide Additional Transparency to Certain Preferential, Ordinary-Course Payments Made by Financial Institutions
Affected Marketplace Rule: 4200(a)(15)(B)
|
SR-NASD-2004-081
Notice & Approval
|
05/14/04
05/20/04
|
Units: Proposal to Modify Listing Standards
Affected Marketplace Rule: 4420(h)
|
SR-NASD-2004-080
Amendment 1
Notice & Approval
|
05/17/04
06/16/04
06/22/04
|
Corporate Governance: Proposal to Make Technical Changes to NASDAQ’s Corporate Governance Rules and Interpretative Material
Affected Marketplace Rules: 4200 and IM-4200, 4350(a) and 4350(h)
|
SR-NASD-2004-079
Amendment 1
Amendment 2
Notice
Approval
|
05/13/04
06/17/04
06/25/04
06/29/04
08/13/04
|
Staff Interpretative Letters: Proposal to Require Publication of Web Summaries
Affected Marketplace Rule: 4550
|
SR-NASD-2004-073
Notice & Approval
|
04/26/04
05/07/04
|
Select Equity-Linked Debt Securities ("SEEDS"): Proposal to Modify Listing Standards
Affected Marketplace Rule: 4420(g)
|
SR-NASD-2004-070
Notice & Approval
|
04/22/04
05/06/04
|
Shareholder Approval: Proposal to Clarify the Use of Written Consent
Affected Marketplace Rule: 4350(i)(6)
|
SR-NASD-2004-069
Notice & Approval
|
04/22/04
05/19/04
|
Corporate Governance: Proposal to Make Technical Changes to NASDAQ’s Corporate Governance Rules and Interpretative Material
Affected Marketplace Rules: 4200A, 4350 and 4350A and Interpretative Material Thereunder
|
SR-NASD-2004-054
Notice & Approval
|
03/25/04
03/31/04
|
Fees: Proposal to Make Permanent the Current Pilot Program for the Imposition of a Fee for Written Interpretations of NASDAQ Listing Rules
Affected Marketplace Rule: 4550
|
SR-NASD-2004-029
Notice & Approval
|
02/12/04
02/13/04
|
Dual Listing: Proposal to Provide Interpretative Material for Rule 4400 Regarding Companies That Dually List on The New York Stock Market and The NASDAQ Stock Market
Affected Marketplace Rules: 4400 and IM-4400
|
SR-NASD-2004-018
Amendment 1
Notice
Approval
|
01/27/04
02/20/04
02/23/04
04/07/04
|
NASDAQ Listing Determination Procedures: Proposal to Clarify Procedures for Reviewing Listing Determinations
Affected Marketplace Rules: 4830, 4845 and 4880
|
SR-NASD-2004-004
Amendment 1
Notice & Approval
|
01/09/04
02/12/04
02/19/04
|
Fee Waivers: Proposal to Provide Interpretative Material Regarding Fee Waivers for Prospective Applicants in Certain Dual Listing and Transfer Situations
Affected Marketplace Rules: 4550 and IM-4500-3
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