Rule Filings
View the Rule Filing Status Report.
Rule Filing Number Sort ascending | Title |
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SR-NASD-2000-009 | Amendment to Effective Date of Phase Three of Order Audit Trail System Rules |
SR-NASD-2000-008 | Margin Rule Amendments Relating to Non-Equity Securities and Exempt Accounts |
SR-NASD-2000-005 | Release of Disciplinary Information |
SR-NASD-2000-004 | Amendments to the Corporate Financing Rule |
SR-NASD-2000-003 | Margin Requirements for Day-Trading Customers |
SR-NASD-2000-002 | Amendments to NASD Code of Arbitration Procedure Rules 10335 and 10205(h) Relating to Injunctive Relief |
SR-NASD-2000-001 | Notice to Members on Extended Hours Trading |
SR-NASD-1999-076 | Amendments to the Code of Procedure and Other Provisions |
SR-NASD-1999-074 | Exemption from the Corporate Financing Rule for Interval Funds |
SR-NASD-1999-072 | Extension of Effectiveness of Pilot Injunctive Relief Rule |
SR-NASD-1999-067 | Amendments to Member Admission Rules |
SR-NASD-1999-065 | Creation of Corporate Bond Trade Reporting Facility |
SR-NASD-1999-063 | Amendments to Rule 2260 Governing Giving of Proxies by Members Absent Written Instructions from Beneficial Owners |
SR-NASD-1999-060 | Proposed Rule 2790, Trading in Hot Equity Offerings |
SR-NASD-1999-054 | Implementation of Single Arbitrator Pilot Program |
SR-NASD-1999-050 | Removal of Address from Forms U-4 and U-5 |
SR-NASD-1999-046 | Chief Compliance Officer Registration |
SR-NASD-1999-045 | Amendments to Interpretation Governing Public Disclosure Program |
SR-NASD-1999-042 | Proposed Rule Change Relating to Performance Fee Arrangements |
SR-NASD-1999-041 | Approval Procedures for Day-Trading Accounts |
SR-NASD-1999-037 | Hard to Borrow List |
SR-NASD-1999-036 | Amendments to NASD Regulation By-Laws Relating to the Election of Chairs and Vice Chairs of the National Adjudicatory Council. |
SR-NASD-1999-035 | Amendment To Associated Person Definition |
SR-NASD-1999-028 | Amendment to Make Electronic Filing Requirement Effective |
SR-NASD-1999-027 | Extension of Effectiveness of Pilot Injunctive Relief Rule |