| Rule Filing
|
Date
|
Purpose
|
SR-NASD-2005-153
Notice & Approval
|
12/23/05
01/06/06
|
NASDAQ Listing Determinations: Proposal to Amend Procedures for the Review of Listing Determinations
Affected Marketplace Rule: 4813
|
SR-NASD-2005-143
Notice & Approval
|
12/08/05
12/22/05
|
Fees: Proposal to Allow NASDAQ Capital Market Issuers That Transfer Their Listing to The NASDAQ National Market to Apply the Amount of the Capital Market Entry Fee Previously Paid to the Entry Fee Payable for Listing on The National Market and to Make Other Clarifying Changes
Affected Marketplace Rules: 4510 and 4520
|
SR-NASD-2005-136
Notice & Approval
|
11/17/05
12/06/05
|
Public Reprimand Letters: Proposal to Permit NASDAQ to Issue Public Reprimand Letters to Listed Companies for Certain Rule Violations When the Determination Is Made That Delisting Is Not an Appropriate Sanction
Affected Marketplace Rules: 4801, 4803, 4804 and 4811
|
SR-NASD-2005-119
Amendment 1
Notice & Approval
|
09/30/05
10/14/05
11/09/05
|
Other Securities: Proposal Regarding the Listing and Trading of Strategic Total Return Securities Linked to the Value of the Chicago Board Options Exchange NASDAQ-100 BuyWrite Index
Affected Marketplace Rules: 4420(f) and 4450(c)
|
SR-NASD-2005-118
Amendment 1
Approval
|
09/30/05
10/14/05
11/03/05
|
Other Securities: Proposal Regarding the Listing and Trading of 9% Targeted Income Strategic Total Return Securities Linked to the Value of the Chicago Board Options Exchange NASDAQ-100 BuyWrite Index
Affected Marketplace Rules: 4420(f) and 4450(c)
|
SR-NASD-2005-116
Notice
Approval
|
09/29/05
10/20/05
12/06/05
|
Auditor Registration: Proposal to Modify Rule 4350(k) to Reflect Changes to the Oversight of Auditors Mandated by the Sarbanes-Oxley Act of 2002 and to Make a Conforming Amendment to Rule 4200(a)
Affected Marketplace Rules: 4200(a) and 4350(k)
|
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-2005-106
Notice
Approval
|
08/31/05
09/27/05
11/07/05
|
Fees: Proposal to Establish New Entry and Annual Fees for Closed-End Funds Listing on The NASDAQ Capital Market
Affected Marketplace Rules: 4510 and 4520
|
SR-NASD-2005-096
Amendment 1
Notice & Approval
|
07/29/05
08/15/05
08/17/05
|
Fees: Proposal to Establish New Entry and Annual Fees for Closed-End Funds Listing on The NASDAQ National Market
Affected Marketplace Rules: 4510 and 4520
|
SR-NASD-2005-082
Amendment 1
Notice
Approval
|
06/22/05
08/23/05
09/07/05
10/13/05
|
Companies in Bankruptcy Proceedings: Proposal to Clarify the Applicability of Listing Standards
Affected Marketplace Rules: 4340(b) and 4350(i)(7)
|
SR-NASD-2005-073
Amendment_1
Amendment_2
Notice
Extension
Extension
Extension
Extension
Amendment 3
Approval
|
06/06/05
12/05/05
12/09/05
12/20/05
02/01/06
02/08/06
02/24/06
03/15/06
03/16/05
03/30/06
|
Annual Shareholder Meeting Requirement: Proposal to Clarify Issuer Applicability Under Rule 4350(e)
Affected Marketplace Rules: 4350(e) and IM-4350-8
|
SR-NASD-2005-044
Notice & Approval
|
04/04/05
04/08/05
|
Fees: Proposal to Clarify the Fees Applicable to Issuers Transferring Listings to The NASDAQ Stock Market
Affected Marketplace Rules: 4510 and 4520
|
SR-NASD-2005-024
Amendment 1
Notice
Approval
|
02/09/05
04/04/05
04/15/05
05/26/05
|
Portfolio Depository Receipts and Index Fund Shares: Proposal to Modify Listing Standards
Affected Marketplace Rules: 4420(i) and 4420(j)
|
SR-NASD-2005-018
Bulletin to Issuers
Notice & Approval
|
01/31/05
02/11/05
02/17/05
|
Foreign Private Issuers: Proposal to Change Exemption Process
Affected Marketplace Rules:4350(a) & IM-4350-6
|
SR-NASD-2005-006
Amendment 1
Bulletin to Issuers
Amendment 2
Notice
Approval
|
01/18/05
02/04/05
02/11/05
06/06/05
06/22/05
08/02/05
|
Foreign Issuers: Proposal to Require the Filing of Interim Financial Reports
Affected Marketplace Rules: 4350(b) and 4360(b)
|
SR-NASD-2005-003
Notice
Approval
|
01/12/05
02/14/05
03/23/05
|
Code of Conduct: Proposal to Change the Timing of Disclosure to Conform with SEC Form 8-K Filing Requirements
Affected Marketplace Rules: 4350(n) and IM-4350-7
|
|
