08-35; 05-65

Proposed Amendment; 97-14

Extension Requests; 00-45; 99-102

IN 2/21/08

08-12

Expenses and Liabilities; 03-63
Funds Transfers and Transmittals; 97-13
Instant Messaging; 03-33
Inter-Dealer Quotation Systems; 00-17

08-69

08-28

07-36

Supervision; 07-36; 07-06

08-24; 07-41

Administrative Termination; 97-65
Approval; 08-64

Compliance Officers; 01-51; 99-51
Direct Registration Programs; FYI, February 1998

Fees; 08-61; 08-59; 08-19; 08-07; 04-73; 04-02; FYI, July 1999

NASD Registration Rules; 03-37; 03-20
Registration Procedures; FYI, March 2003
Registration Requirements; 08-55; 08-01; 07-12; 05-01; 04-25; 03-44; 99-49
Renewal of Registrations; 09-01; 08-59; 08-01; 07-48; 07-01; 06-02; 05-73; 05-01; 04-74; 04-02; 03-61; 03-01; 02-67; 02-03; 01-02; 00-72; 00-01; 99-85; 99-06; 98-84; 98-09; 97-70
Series 7 (General Securities Representative Exam); 99-75; 98-16
Series 16 Waiver Acceptability Requests; 08-67

Series 23 (General Securities Principal Sales Supervisor Module); 03-37
Series 27 (Financial and Operations Principal); 01-52
Series 28 (Introducing Broker/Dealer Financial and Operations Principal); 01-52
Series 42 (Registered Options Representatives Exam); 98-16
Series 55 (Equity Traders Exam); 00-46; 00-27; FYI, February 2000; FYI, August 1998; 98-60; 98-17; FYI, May 1997
Series 63 (Uniform Securities Agent State Law Examination); FYI, August 2000
Series 65 (Uniform Investment Adviser Law Exam); FYI, August 2000; FYI, January 2000
Series 66 (Uniform Combined State Law Exam); FYI, August 2000; FYI, January 2000
Series 72 (Government Securities Representatives Exam); 98-16; FYI, May 1997
Series 86/87 (Research Analyst Qualification Examination); 05-24; 05-14; 05-13; 04-81

Termination or Suspension of; 02-58

Waiver Requests; 08-67

Uniform Registration Forms; 08-20

08-31; 07-65; 07-63; 07-39; 07-23; 06-67

08-65; 08-60; 08-53; 08-32; IN 12/21/07; 06-62; 06-30; 04-38; 03-66;

08-72; 08-37; 08-19; 07-63; 06-39; 05-11

Mutual Fund; 97-47

Final Renewal Statements; 09-01; 08-59; 08-01; 07-48; 07-01; 05-01; 04-02; FYI, February 2002; FYI, February 2001
Payment Reminder; FYI, December 1999
Registration Renewal; 08-59; 08-01; 07-48; 07-01; 06-59; 05-73; 05-01; 04-74; 04-02; 03-61; 03-01; 02-67; 02-48; 02-03; 01-75; 01-02; 00-72; 00-01; 99-85; 99-06; 98-84; 98-09; 97-70

09-02; 08-64; 06-31; 03-36; 03-23; 02-34; 01-84; FYI, December 2001

08-68; 03-73

08-55; 08-16; 08-15; 07-04; 05-34; 05-13

NASD Sanction Guidelines; 05-17

08-55; 08-16; 08-15; 07-64; 07-04; 05-24; 05-14; 05-13; 04-81; 04-25; 04-18; 03-44; FYI, November 2002; 02-44; 02-39; 00-15; 98-54

NASD Sanction Guidelines; 05-17

07-60; FYI, May 2002

Deposits; 07-60

08-65; 08-60

08-66

03-54

Disclosure Proposal; 99-02; 97-29
Ratings, Bond Mutual Fund; 96-84
Risk Management Practices; 99-92

08-18

08-57; IN 10/6/08; IN 3/12/08

  (IM-1000-4); 08-24

Registration Rules; 03-44; 03-20
Repealing Obsolete Rules; 98-81
Rule Filing Status; July 1999; March 1999; March 1998; December 1996
Rule Modernization; 03-53; 03-26; 02-52; 02-10; 01-35

Rule 1000 Series; 08-67; 07-49

  (IM-1000-2); 07-49; 02-12

Rule 1010 Series; 08-66

Rule 0120; 99-16

Rule 1010 Series; 08-14; 00-73; 99-67; 98-02; 97-55

Rule 1011; 04-10

  (IM-1011-1); 06-56
Rule 1012; 08-14; 07-20

Rule 1013; 08-14; 07-20; 06-16; 03-56
  (IM-1013-1); 07-52

Rule 1014; 08-66; 08-64; 08-14; 06-16; 05-80; 04-10; 02-54
Rule 1015; 05-80; 00-56; 99-73
Rule 1017; 08-66; 07-52; 06-56; 05-80; 04-10; 02-54;
Rule 1021; 07-52

Rule 1022; 08-28; 08-15; 08-02; 07-62; 06-63; 06-35; 06-23; 05-70; 02-27; 01-52; 01-51; 01-32
Rule 1031; 08-64; 08-35; 07-52

Rule 1032; 07-62; 06-63; 01-39; 01-32; 98-17; 98-16
Rule 1032(b); 05-70

Rule 1032(c); 06-35; 02-27
Rule 1032(f); 06-35; 05-19; 02-27
Rule 1032(h); 02-27

Rule 1041; 05-19
Rule 1043; 02-77
Rule 1050; 08-55; 08-15; 05-24; 05-14; 05-13; 04-81; 03-44
Rule 1060; 02-73
Rule 1070; 04-59

Rule 1070(d); 08-67

Rule 1120; 08-02; 07-42; 05-79; 05-20; 04-78; 04-22; 03-44; 01-54; 01-14; 98-59; 98-23; 97-09

Rule 1140; 03-56; 00-73
Rule 1150; 07-42; 04-32

Rule 1160; 07-42

Rule 2110; 08-66; 08-43; 08-36; 08-30; 08-27; 08-21; 07-43; 04-72; 04-44; 04-43; 03-68; 02-64; 02-57; 02-53
  (IM-2110-1); 03-20; FYI, December 2002; 00-12; 97-30
  (IM-2110-2); 08-49; 08-31; 07-19; 06-03; 05-69; 05-64 

  (IM-2110-3); 02-73
  (IM-2110-4(b)); 04-64

  (IM-2110-6); 01-20
  (IM-2110-6); 00-33
  (IM-2110-7); 01-36; 02-07

Rule 2111; 08-31; 06-03; 05-69

Rule 2120; 08-27; 06-50

Rule 2130; 04-43; 04-16
Rule 2210; 08-73; 08-66; 08-58; 08-55; 08-39; 08-27; 08-16; 08-12; 07-59; 07-47; 07-43; 07-30; 07-02; 06-50; 06-48; 06-05; 05-25; 04-47; 03-77; 03-48; 03-38; 02-73; 02-51; 01-58; 01-45; 00-23; 00-15; 99-79; 99-16; 98-83; 98-54; 97-37; 97-28

  (IM-2210-4); 07-47; 07-02  

  (IM-2210-5); 06-05; 03-48; 01-58
  (IM-2210-6); 04-86

Rule 2210(a); 01-51
Rule 2210(b); 01-52
Rule 2210(c); 01-52
Rule 2211; 08-73; 07-59; 07-30; 06-48; 06-45; 05-27; 03-77; 97-01; FYI, December 1996
Rule 2212; 05-07

Rule 2220; 08-73; 08-28; 99-16
Rule 2260; 03-26; 02-33
  (IM-2260); 03-15; 02-33
Rule 2280; 08-26; 97-78

Rule 2290; 07-54

Rule 2310; 08-48; 08-30; 07-53; 07-43; 07-40; 01-23; FYI, March 1997; 96-86

  (IM-2310-3); 07-43
Rule 2315; 02-66; 98-15
Rule 2320; 08-43; 08-25; 07-65; 07-40; 06-58; 02-40; 00-84; 00-78; 99-16; 97-88

  (IM-2320); 06-58
Rule 2330; 08-64; 07-53; 03-21; 01-24
Rule 2340; 06-68; 01-08; 97-14
Rule 2341; 01-31

Rule 2342; 07-29
Rule 2350; 98-15; 97-89; 97-29; 97-26
Rule 2360; 00-62
Rule 2361; 00-62
Rule 2370; 08-64; 04-14; 03-62
Rule 2420; 05-18

Rule 2430; 03-68
  (IM-2440); 01-59

Rule 2440; 08-43; 08-36; 07-28

  (IM-2440); 08-36

  (IM-2440-1); 08-43

  (IM-2440-2); 08-43

Rule 2441; 06-47

Rule 2460; 97-46; 97-11; 96-83
Rule 2510; 08-48; 04-71

Rule 2520; 08-65; 08-60; 08-41; 08-09; 08-08; 07-14; 07-11; 06-26; 05-47; 04-38; 03-66; 01-26; 01-11
Rule 2522; 06-26; 03-53; 01-11; 00-51
Rule 2710; 07-05; 06-52; 04-13; 04-07; 03-72; 02-55; 01-59; 00-53; 00-12; 99-17; 97-82; 97-80; 97-10
Rule 2711; 08-55; 08-16; 08-15; 07-12; 07-04; 06-36; 03-44; FYI, November 2002; 02-44
Rule 2712; 03-72; 02-55
Rule 2720; 08-54; 07-05; 06-52; 01-59; 00-12; 98-48; 97-82; 97-68
Rule 2790; 07-34; 05-65; 04-20; 03-79
Rule 2810; 08-35; 04-13; 04-07; 03-53; 01-59; 00-12; 97-81
Rule 2820; 07-53; 01-63; 99-103; 98-75; 97-48
Rule 2821; 07-53

Rule 2830; 03-54; 00-53; 99-103; 99-81; 98-98; 98-75; 97-48

Rule 2830(k); 05-04
Rule 2860; 08-73; IN 8/26/08; 08-33; IN 5/15/08; 08-28; 08-10; 08-04; 07-37; 07-14; 07-11; 07-08; 07-03; 06-51; 06-46; 06-09; 05-56; 05-31; 05-06; 01-01; 99-20; 98-92; 98-49
 (IM-2860); 08-10

Rule 2865; 02-73
Rule 3010; 08-73; 08-28; 08-24; 08-15; 07-64; 07-59; 07-55; 07-53; 07-49; 07-30; 07-12; 06-38; 06-36; 06-12; 05-67; 05-46; 05-44; 05-27; 05-26; 04-71; 04-66; 03-49; 02-61; 01-54; 02-52; 01-38; 99-45; 99-03; 98-52; 98-11; 96-82
  (IM-3010-1); 08-24; 06-12; 05-67; 03-29
Rule 3010(b); 02-73
Rule 3010(e); 02-73

Rule 3011; 08-66; 02-78

  (IM-3011-2); 07-42
Rule 3012; 08-24; 07-53; 07-49; 06-04; 05-75; 05-57; 05-29; 05-08; 04-71

Rule 3013; 07-32; 05-75; 04-79; 04-71

  (IM-3013); 07-32; 06-11; 05-75

Rule 3020; 98-67
Rule 3030; 05-50; 03-65; 01-79
Rule 3040; 08-24; 05-50; 03-65; 01-79
Rule 3050; 02-73; 97-25
Rule 3060; 06-06

Rule 3070; 08-70; 08-64; 08-47; 08-40; 08-17; 06-34; 03-23; 01-54; 02-53; 02-34; 96-85
Rule 3080; 99-96
Rule 3090(a); FYI, November 2002
Rule 3110; 08-64; 08-25; 08-24; 07-59; 07-49; 07-40; 06-68; 05-32; 05-08; 04-71; 00-78; 98-47; 98-33; 98-11; 97-01; FYI, December 1996; 96-82
  (IM-3110); 08-25; 04-71

Rule 3121; 00-56; 99-73; 97-12
Rule 3130; 08-23; 03-67

  (IM-3130); 08-23
Rule 3131; 08-23; 03-67
Rule 3150; 05-72; 04-24; 01-84
  (IM-3150); 04-24

Rule 3160; 08-53; 08-32; 06-62

Rule 3170; 08-11; 06-61

Rule 3210; 07-45; 06-28

Rule 3230; 05-72; 99-57; 97-79
Rule 3310; 06-50; 04-66

Rule 3340; 02-82; 01-47
Rule 3350; 04-40; 01-20; 99-98
Rule 3360; 08-13; 07-31; 06-20; 06-14; 05-63; 03-08
Rule 3370; 08-11; 04-52; 04-21; 04-08; 04-03; 02-73; 00-28; 99-98
Rule 3380; 06-19

Rule 3400 Series; 04-68

Rule 3420; 00-48

Rule 3500 Series (Emergency Preparedness)

Rule 3520; 07-42
Rule 3510; 08-64; 04-37
Rule 3520; 08-64; 04-37

Rule 4200; 07-63; 97-10
Rule 4300; 04-68; 02-01
Rule 4611; 97-52
Rule 4612; 97-52
Rule 4613; 04-28; 01-20; 00-29; 99-61; 98-85; 97-76
Rule 4613A; 06-42

  (IM-4613A-1); 06-42

Rule 4613(e); 02-71
Rule 4614; 97-10
Rule 4619; 97-10
Rule 4623; 98-85; 97-10
Rule 4624; 97-80
Rule 4625; 98-85
Rule 4632; 07-63; 07-46; 07-38; 07-31; 01-54; 00-79; 99-66; 99-65
Rule 4642; 01-54; 00-79; 99-66; 99-65
Rule 4652; 01-54; 00-79; 99-66; 99-65
Rule 5000; 07-38

Rule 5100; 07-31

  (IM-5100); 07-31; 06-57; 06-53;

Rule 5120; 08-68

Rule 5300 Series; 01-19
Rule 6100 Series; 01-19
Rule 6130; TRN 2/19/08; 07-63; 07-38; 07-31; 04-54; 04-40; 01-54; 00-79; 97-15
  (IM-6130); 07-31; 04-54; 04-40

Rule 6170; 01-54
Rule 6200 Series (TRACE Rules); 08-43; 08-42; TRN 2/22/08; TRN 7/28/08; TRN 7/1/08; TRN 2/22/08; 07-61; 07-21; 07-18; 06-32; 06-22; 06-01; 05-77; 05-37; 05-28; 05-05; 05-02; 04-65; 04-51; 03-58; 03-45; 03-36; 03-22; 03-12; 02-81; 02-76; 01-19; 01-18
Rule 6230; 08-52

Rule 6240; 01-54
Rule 6330; 98-05
Rule 6420; 01-54; 00-79; 99-66
Rule 6440; 98-05
Rule 6530; 08-34; 99-15; 98-14; 98-07; 97-08
Rule 6540; 99-15; 98-14; 98-07; 97-80; 97-10; 97-08
Rule 6541; 08-49; 07-19; 01-46
Rule 6550; 01-54; 97-08
Rule 6610; 08-51; 08-49; TRN 8/14/08; TRN 3/18/08; 07-63; 07-40

Rule 6620; 08-51; TRN 3/18/08; 07-63; 07-46; 01-54; 00-79; 99-66; 99-65

Rule 6660; 07-22; 07-09
  (IM-6660-1); 07-22; 07-09

Rule 6720; 01-54
Rule 6740; 06-27; 05-59; 05-41; FYI, April 1999
Rule 6900; 97-08
Rule 6910; 97-08
Rule 6920; 97-08
Rule 6950 - Rule 6958 (OATS Rules); 07-39; 06-17; 06-15; 05-78; 04-85; 04-69; 04-48; 04-46; 98-73; 98-33
Rule 6954; 01-54
Rule 6955 01-54

Rule 7000 Series (Charges for OTC Reporting Facility, OTC Bulletin Board and Trade Reporting and Compliance Engine Services); 07-15
Rule 7010; 05-52

 (IM-8310-2); 05-80

Rule 7010(k); 04-06; 02-81
Rule 8000 Series; 07-52

Rule 8000; 98-02; 97-55
Rule 8210; 08-70; 99-16
Rule 8220; 99-16
Rule 8221; 00-56; 99-73
Rule 8222; 00-56; 99-73
Rule 8223; 00-56; 99-73
Rule 8225; 00-56; 99-73
Rule 8310; 03-35; 00-56; 99-73; 99-16; 97-42
  (IM-8310-2); 08-20; 07-10; 03-76; 03-35; 02-61; 02-49; 02-20

  (IM-8310-3); 07-10
Rule 9000 Series; 08-34; 07-52

Rule 9100 - Rule 9700 (see Code of Procedure (NASD Rule Series 9000))
Rule 9160; 03-67
Rule 9216; 07-51; 04-23; 01-54
  (IM-9216); 08-33; 07-51; 04-77; 04-23

Rule 9216(b); 05-71

  (IM-9216(b)); 05-71

Rule 9311; 03-35
Rule 9312; 03-35
Rule 9360; 03-35
Rule 9400 Series; 03-67
Rule 9511; 03-35
Rule 9513; 03-35
Rule 9520; 05-12

Rule 9522; 05-12

Rule 9550 Series; 04-36

Rule 9557; 08-23

Rule 9559; 08-23

Rule 9600 Series; 08-67; 04-59

Rule 9610; 07-31

Rule 9610(a); 06-17; 06-15

Rule 9700 Series; 08-34

Rule 9800 - Rule 9870 (see Temporary Cease and Desist Orders (NASD Rule Series 9800))
Rule 10000 Series; 08-45

Rule 10100 - Rule 10400 (see Code of Arbitration Procedure (NASD Rule Series 10000))
Rule 10301; 01-29
Rule 10308; 04-61; 01-70; 01-13; 01-04
Rule 10312; 01-13; 01-04
Rule 10314; 04-56

Rule 10334; 04-62; 01-03
Rule 11100 - Rule 11900 (see Uniform Practice Code (NASD Rule Series 11000))

Rule 11810; 08-64; 08-06

Rule 11860; 06-68

Rule 11870; 08-64; 07-50; 07-06; 04-58; 01-66; 01-54
Rule 11890; 03-11

Rule 12000 Series (See Code of Arbitration Procedure)

Rule 12100; 08-22

Rule 12208; 07-57

Rule 13000 Series (See Code of Arbitration Procedure)

Rule 13100; 08-22

Rule 13208; 07-57

Rule 14000 Series (See Code of Arbitration Procedure)

Rule 14106; 07-57

Circulation; 08-68