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 |