Rules

October 5, 2007 – Regulatory Notice 07-47
Amendments to NASD IM-2210-4: Web Site References to FINRA Membership and Limitations on the Use of FINRA's Name and Other Corporate Names Owned by FINRA; Effective Date: November 17, 2007

September 12, 2007 - File No. SR-FINRA-2007-014
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASD Interpretative Material 2210-4 (“IM-2110-4”) to Limit the Use of FINRA’s Name and Any Other Corporate Name Owned by FINRA and to Require Members and Persons Associated with a Member that Refer to their FINRA Membership on a Web site to Provide a Hyperlink to www.finra.org

September 6, 2007 - Regulatory Notice 07-41
Member Firms are Reminded to Register with FINRA Associated Persons Who Also are Registered with Another SRO in a FINRA-Recognized Registration Category

August 30, 2007 - File No. SR-FINRA-2007-008
Notice of Filing of Proposed Rule Change Relating to Amending the Definition of Office of Supervisory Jurisdiction (“OSJ”) in NASD Rule 3010(g)(1) to Exempt Locations that Solely Conduct Final Approval of Research Reports

August 10, 2007 - Regulatory Notice 07-35
Extension of Temporary Relief from NYSE Rule 409(f) (Statements of Accounts to Customers) to January 1, 2008

August 8, 2007 - SR-FINRA-2007-005
Proposed Rule Change to Amend NASD Rule 11870 and New York Stock Exchange Rule 412

October 22, 2007 - Information Memo 07-102
Amendment to NYSE Rule 2 and Waive-in Application Process to Become a FINRA Member (for NYSE Member Organizations Who are not Currently FINRA Members)

August 6, 2007
Effective Date of Amendments to Rule 600 to Provide Guidance Regarding New and Pending Arbitration Claims in Light of the Consolidation of NYSE Regulation into NASD DR

July 30, 2007 – Information Memo 07-79
Changes to Disciplinary Proceedings at NYSE Regulation as a Result of the Regulatory Consolidation with NASD

July 27, 2007 - SR-NYSE-2007-73
Proposed rule change to NYSE rule Interpretation 344/02 ("Foreign Research Analysts") to amend and clarify the exemption from the Research Analyst Qualification Examination requirements for certain foreign research analysts.

July 27, 2007 - SR-NYSE-2007-70
Filing seeks to amend the gross FOCUS fee and make additional changes in connection with the combination of certain functions of NYSE Regulation and NASD

July 26, 2007 - SR-NYSE-2007-68
Proposal to amend Rule 343 to eliminate requirement for Exchange approval of branch office space sharing arrangements but requires that reasonable steps be taken to ensure customers are clear as to the entity with which they are dealing.

July 24, 2007 - SR-NYSE-2007-67
Filing seeks to reflect changes to membership requirements related to the consolidation of membership regulation functions of NASD and NYSE Regulation that will result in a combined organization to be named FINRA.

July 24, 2007 - SR-NYSE-2007-66
Proposed rule change to NYSE Rule 472 to amend certain requirements for third party research reports distributed or made available by a member organization.

June 29, 2007 – SR-NYSE-2007-59
Amendment to replace the prior consent standard for establishing branch offices with a notice requirement, and eliminate the pre-approval requirement for establishing branch office space-sharing arrangements, and eliminate requirement to have a certificate of membership at each branch office location.

June 20, 2007 – SR-NYSE-2007-53
Proposal to eliminate the requirement that the Series 24 Examination be passed after July 1, 2001 in order to be recognized by the Exchange as an acceptable alternative to the Series 9/10 Examination

June 14, 2007
07-54 Proposed Joint Guidance Regarding the Review and Supervision of Electronic Communications

May 29, 2007 - SR-NYSE-2007-49
Proposal to bifurcate current NYSE Rule 472 - Communications With The Public - into two rules to separate the provisions governing research reports and analysts from the provisions governing non-research communications with the public

May 25, 2007- Release No. 34-55818; File No. SR-NYSE-2007-48
Notice of Filing of Proposed Rule Change Relating to Proposed Amendments to Rule 600 to Provide Guidance Regarding New and Pending Arbitration Claims in Light of the Consolidation of NYSE Regulation into NASD DR

May 15, 2007 - Release No. 34-55766; File No. SR-NYSE-2006-06
Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Proposed New Rule 350A ("Business Entertainment") Concerning Policies and Procedures Addressing Business Entertainment

April 23, 2007 - SR-NYSE-2007-43
Proposal to amend Rule 342(c) to replace the current prior consent requirement for branch office registration with a notice requirement

April 18, 2007 - 07-34 NYSE and NASD
Joint Release Regarding Special Measures against Specified Banks Pursuant to Section 311 of the USA Patriot Act

March 22, 2007 - Release No. 34-55505; File No. 4-523
Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective a Revised Plan for Allocation of Regulatory Responsibilities Between NYSE Arca, Inc. and National Association of Securities Dealers, Inc.

February 27, 2007 - SR-NYSE-2007-22
Proposal to harmonize several NYSE rules with corresponding NASD regulatory requirements, update NYSE terminology and otherwise reorganize, refine and clarify NYSE rule text.

February 23, 2007 - SR-NYSE-2007-21
Proposal to permit members or member organizations to trade along with a customer order if the purpose of the proprietary order is to execute, on a riskless principal basis, another order from a customer

July 27, 2007 - SR-NASD-2007-057
Proposed Rule Change to Amend an Exemption to Rule 1050 for Certain Foreign Research Analysts

July 16, 2007 – SR-NASD-2007-049
Proposed rule change to amend NASD Rule 3013 and accompanying Interpretive Material 3013 to permit members to designate co-chief executive officers and multiple chief compliance officers to discharge the requirements of those rules.

June 27, 2007 - SR-NASD-2007-042
Proposed Rule Change to Delay the Implementation Date of IM 2210-4, Which Requires Certain Member Firms to Provide a Hyperlink to www.nasd.com

June 14, 2007
07-30 NASD and NYSE Request Comment on Proposed Joint Guidance Regarding the Review and Supervision of Electronic Communications; Comment Period Expires July 13, 2007

June 14, 2007 - SR NASD 2007 038
The Proposal Amends the Arbitration Codes to Clarify That for Purposes of the Codes, the Term Member Includes any Broker or Dealer Admitted to Membership in a Self-Regulatory Organization That, with NASD Consent, has Required its Members to Arbitrate Pursuant to the Codes and/or be Treated as Members of NASD for Purposes of the Codes

May 15, 2007 - Release No. 34-55765; File No. SR-NASD-2006-044
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

April 18, 2007 - 07-17 NASD and NYSE
Joint Release Regarding Special Measures against Specified Banks Pursuant to Section 311 of the USA PATRIOT Act

March 20, 2007 – Release No. 34-55495; File No. SR-NASD-2007-023
Notice of Filing of Proposed Rule Change to Amend the By-Laws of NASD to Implement Governance and Related Changes to Accommodate the Consolidation of the Member Firm Regulatory Functions of NASD and NYSE Regulation, Inc.

February 22, 2007 - 07-12 NASD
Requests Comment on Proposed Amendments to Rules 3010(g) and 2711 in Connection with the Rule Harmonization Project with the NYSE

March 26, 2007 - Release No. 34-55532; File No. S7-966
Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Order Granting Approval of Amendment to the Plan for the Allocation of Regulatory Responsibilities Among the American Stock Exchange, LLC, the Boston Stock Exchange, Inc., and National Association of Securities Dealers, Inc.

April 10, 2007 - Release No. 34-55612; File No. 4-536
Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Chicago Board Options Exchange, Incorporated and the National Association of Securities Dealers, Inc.

June 21, 2007 - Release No. 34-55936; File No. SR-ISE-2007-32
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Removing Certain Rules from its Rulebook

June 12, 2007 - Release No. 34-55899; File No. SR-ISE-2007-30
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Registration of Representatives and Options Principals and Related Fee Changes

May 11, 2007 - Release No. 34–55751; File No. SR–ISE–2007–29
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Conforming Certain Rules With Comparable NASD Rules

February 27, 2007 – Release No. 34-55367; File No. 4-529
Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Between the International Securities Exchange, LLC and the National Association of Securities Dealers, Inc.

May 22, 2007 – Release No. 34-55799; File No. SR-NSX-2006-16
Order Approving Proposed Rule Change Regarding the Annual Certification of Compliance and Supervisory Processes

October 16, 2007 - MSRB Notice 2007-31
Notice of Filing of Proposed Amendments to Rule G-40 on Electronic Mail Contacts

October 23, 2007 - Release No. 34-56686; File No. SR-NYSE-2007-53
Notice of Filing of Proposed Rule Change, as Modified by Amendments No. 1 and 2 Thereto, to Amend NYSE Rule 342.13 (“Acceptability of Supervisors”)

October 19, 2007 - Release No. 34-56677; File No. SR-FINRA-2007-005
Order Granting Approval of a Proposed Rule Change Relating to NASD Rule 11870 (Customer Account Transfer Contracts) and NYSE Rule 412 (Customer Account Transfer Contracts) to Make the Time Frames in the Rules for Validating or Taking Exception to an Instruction to Transfer a Customer's Securities Account Consistent with the Time Frames in the Automated Customer Account Transfer Service

October 19, 2007 - Release No. 34-56678; File No. SR-NSCC-2007-13
Order Granting Approval of a Proposed Rule Change to Amend its Rules and Procedures with Regard to the Automated Customer Account Transfer Service (ACATS) and ACATS Fund/SERV Processing

October 12, 2007 - Release No. 34-56654; File No. SR-NYSE-2007-67
Order Approving Proposed Rule Change Relating to NYSE Rule 2 ("Member," "Membership," "Member Firm," etc.)

October 12, 2007 - Release No. 34-56653; File No. SR-NASD-2007-056
Order Approving Proposed Rule Change to Establish a Membership Waive-In Process for Certain NYSE Member Organizations

October 4, 2007 - Release No. 34-56615; File No. SR-FINRA-2007-01
34-56615 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Limit the Use of FINRA's Name and Any Other Name Owned by FINRA and to Require Members and Persons Associated with a Member that Refer to their FINRA Membership on a Web site to Provide a Hyperlink to www.finra.org

October 1, 2007 - Release No. 34-56594; File No. SR-BSE-2007-25
Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendments No. 1, 2, and 3 Thereto, Relating to Registration Filing Requirements and Reporting Requirements

October 1, 2007 – Release No. 34-56585; File No. SR-FINRA-2007-008
Notice of Filing of Proposed Rule Change Relating to Amending the Definition of Office of Supervisory Jurisdiction in NASD Rule 3010(g)(1) to Exempt Locations that Solely Conduct Final Approval of Research Reports

September 21, 2007 - Release No. 34-56492; File No. SR-CBOE-2007-106
Notice of Filing of Proposed Rule Change Relating to CBOE Rules Governing Doing Business With the Public

September 20, 2007 - Release No. 34-56480; File No. SR-FINRA-2007-011
Notice of Filing of Proposed Rule Change to Amend NASD Rule 2711 and NYSE Rule 472 Regarding a Member's Disclosure and Supervisory Review Obligations when Distributing Third-Party Research

September 20, 2007 - Release No. 34-56481; File No. SR-FINRA-2007-010
Notice of Filing of Proposed Rule Change to Amend an Exemption to NASD Rule 1050 and NYSE Rule Interpretation 344/02 for Certain Research Analysts Employed by a Member's Foreign Affiliate Who Contribute to the Preparation of a Member's Research Report

September 7, 2007 - Release No. 34-56373; File No. SR-FINRA-2007-005
Notice of Filing of a Proposed Rule Change Relating to NASD Rule 11870 (Customer Account Transfer Contracts) and NYSE Rule 412 (Customer Account Transfer Contracts) to Make the Time Frames in the Rules for Validating or Taking Exception to an Instruction to Transfer a Customer’s Securities Account Consistent with the Time Frames in the Automated Customer Account Transfer Service

August 31, 2007 - Release No. 34-56347; File No. SR-NASD-2007-056
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Establish a Membership Waive-In Process for Certain NYSE Member Organizations

August 17, 2007 - Release No. 34-56285; File No. SR-NASD-2007-049
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASD Rule 3013 and Accompanying Interpretive Material 3013

August 8, 2007 - Release No. 34-56225; File No. SR-ISE-2007-32
Order Approving Proposed Rule Change as Modified by Amendment No. 1 Thereto to Remove Certain Rules from its Rulebook

August 6, 2007 - Release No. 34-56208; File No. SR-NYSE-2007-48
Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to Proposed Amendments to Rule 600 to Provide Guidance Regarding New and Pending Arbitration Claims in Light of the Consolidation of NYSE Regulation into NASD DR

August 3, 2007 - Release No. 34-56204; File No. SR-NASDAQ-2007-070
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Certain FINRA Rules Relating to Trading Halts and Disclosure of Disciplinary Information

July 31, 2007 - Release No. 34-56173; File No. SR-NYSE-2007-67
Notice of Filing of Proposed Rule Change Relating to NYSE Rule 2 ("Member," "Membership," "Member Firm," etc.)

July 31, 2007 - Release No. 34-56175; File No. SR-NASD-2007-055
Notice of Filing of Proposed Rule Change Relating to Interpretative Material 9216, Violations Appropriate for Disposition Under Plan Pursuant to SEC Rule 19d-1(c)(2)

July 30, 2007 - Release No. 34-56169; File No. SR-NYSE-2007-69
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Information Memorandum That Reflects the Changes to Disciplinary Proceedings at NYSE Regulation, Inc. as a Result of the Regulatory Consolidation with the National Association of Securities Dealers, Inc

July 26, 2007 - Release No. 34-56148; File No. 4-544
Plan for the Allocation of Regulatory Responsibilities Between the National Association of Securities Dealers, Inc., New York Stock Exchange LLC, and NYSE Regulation, Inc.

July 26, 2007 - Release No. 34-56143; File No. SR-NYSE-2007-59
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NYSE Rules 342(c) ("Offices – Approval, Supervision and Control") and 343 ("Offices – Sole Tenancy, Hours, Display of Membership Certificates")

July 26, 2007 - Release No. 34-56142, File No. SR-NYSE-2007-22
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Harmonization of NYSE and NASD Regulatory Standards, the Updating of Certain NYSE Terminology, and the Reorganization and Clarification of Certain NYSE Rules in Connection with the Harmonization Process

July 26, 2007 – Release No. 34-56145; File No. SR-NASD-2007-023
Order Approving Proposed Rule Change to Amend the By-Laws of NASD to Implement Governance and Related Changes to Accommodate the Consolidation of the Member Firm Regulatory Functions of NASD and NYSE Regulation, Inc.

July 24, 2007 - Release No. 34-56124; File No. SR-NASD-2007-042
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation of NASD Interpretive Material 2210-4, which Requires Certain Member Firms to Provide a Hyperlink to www.nasd.com