1998 Rule Filings

SR-NASD-1998-097   Extension of Effectiveness of Pilot Injunctive Relief Rule
SR-NASD-1998-096   Amendments to Forms U-4 and U-5
SR-NASD-1998-092   Tripling Position Limits for Standardized Equity Options
SR-NASD-1998-091   Amendment to Time Period for Filing Information Requests in Arbitration
SR-NASD-1998-090   Proposed Amendments to the Code of Procedure to Provide for the Office of Disciplinary Affairs of NASD Regulation, Inc. to Authorize All Enforcement Actions
SR-NASD-1998-087   Amendment to Corporate Financing Filing Fees
SR-NASD-1998-086   Corrections to By-Law Cross-References
SR-NASD-1998-082   Fee Rate Change Relative to the Review of Advertising
SR-NASD-1998-081   Proposed Exception From the Corporate Financing Rule for Offerings by Charitable Organizations
SR-NASD-1998-080   Establishing Procedures to Enable NASD Regulation to Issue Temporary Cease and Desist Orders
SR-NASD-1998-078   Options Position Limits Hedge Exemption Pilot Program
SR-NASD-1998-076   Change of Effective Date for SR-NASD-98-29-Amendments Relating to Standards for Individual Correspondence
SR-NASD-1998-075   Rule Requiring Certain NASD Members to Conduct or to Participate in Year 2000 Testing
SR-NASD-1998-074   Amendments to Rule 3110(f) Governing Predispute Arbitration Agreements With Customers
SR-NASD-1998-069   Amendment to Interpretive Material Regarding Mutual Fund Breakpoint Sales
SR-NASD-1998-064   Arbitrator List Selection Method for Intra-Industry Disputes
SR-NASD-1998-058   Proposed Change to NASD Rules to Eliminate the Requirement for Personal Service of Decisions in Cases Involving Bars and Expulsions
SR-NASD-1998-057   Proposed Change to NASD Membership and Registration, Investigation and Sanctions, Conduct and Code of Procedure Rules
SR-NASD-1998-054   SOES/SelectNet Access
SR-NASD-1998-052   Review of Incoming, Non-electronic Correspondence with the Public
SR-NASD-1998-051   Microcap Initiative - Amendments to NASD Rules 6530 and 6540
SR-NASD-1998-048   Proposed Rule Change to Amend the Method of Selecting Arbitrators in Customer Disputes
SR-NASD-1998-046   Technical Corrections to Delegation Plan and IM-1000-4
SR-NASD-1998-045   Supervision of Correspondence
SR-NASD-1998-043   Extension of Application Deadline Series 55 Examination, Equity Trader
SR-NASD-1998-042   Extension of Effectiveness of Pilot Injunctive Relief Rule
SR-NASD-1998-038   Amendments to OATS Rules
SR-NASD-1998-036   Amendments to NASD Regulation By-Laws Relating to At-Large Industry Members of the National Adjudicatory Council
SR-NASD-1998-035   Proposed Rule Relating to Books and Records
SR-NASD-1998-034   Proposed Rule Change to Rule 9514
SR-NASD-1998-033   Exemption From Fidelity Bonding Requirement
SR-NASD-1998-032   Proposed Rule Excluding Research Reports from Filing Requirements
SR-NASD-1998-031   Supervision of Correspondence
SR-NASD-1998-029   Proposed Rule Relating to Standards for Individual Correspondence
SR-NASD-1998-028   Proposed Rule Relating to Research Reports Approved by NYSE Supervisory Analysts
SR-NASD-1998-023   Amendments to Rule 2860, Options Position Limits
SR-NASD-1998-020   Proposed Rule Change to Rule 11860 to Permit Members to Use the Facilities of a Qualified Electronic Vendor for Electronic Confirmation and Affirmation of Depository Eligible Transactions
SR-NASD-1998-019   Interim Forms and Public Disclosure Program
SR-NASD-1998-018   Qualified Immunity in Arbitration Proceedings for Statements Made on Forms U-4 and U-5
SR-NASD-1998-015   Amendment to Rule 2860(b) Concerning Position and Exercise Limits for FLEX Equity Options
SR-NASD-1998-014   Proposed Rule Relating to Sales Charges and Prospectus Disclosure for Mutual Funds and Variable Contracts
SR-NASD-1998-013   Proposed Rule Change to Clarify That Members of the National Adjudicatory Council May Serve as Panelists in the Appeal or Review of Disciplinary Proceedings
SR-NASD-1998-011   Proposed Rule Relating to the Presentation of Mutual Fund and Variable Contract Related Performance Information
SR-NASD-1998-010   Supervision of Correspondence
SR-NASD-1998-007   Amendment to Rule 10314 to Extend the Time to Answer Arbitration Complaints
SR-NASD-1998-004   Change to Policy on Accepting Claims for Arbitration Involving Exempted Securities
SR-NASD-1998-003   Proposed Rule Change to Rule 1120
SR-NASD-1998-002   Rule 2860, Option Position Limits: Extension of Hedge Exemption Pilot Program