1999 Rule Filings
| 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 | |
| SR-NASD-1999-021 | Creation of a Separate Subsidiary to Administer Dispute Resolution Programs | |
| SR-NASD-1999-019 | Amendments to IM-10100 to Facilitate Use of Non-SRO Arbitration Forums | |
| SR-NASD-1999-015 | Suspension of NAC Call for Review of Membership Decisions | |
| SR-NASD-1999-008 | Amendments to Code of Arbitration Procedure Relating to the Arbitration Process for Claims of Employment Discrimination | |
| SR-NASD-1999-007 | Development of a Discovery Guide | |
| SR-NASD-1999-005 | Amendments to Rule 2520 (Margin Rules) Relating to Margin for Exempted Borrowers, Good Faith Accounts, Joint Back Office Arrangements and Options Transactions | |
| SR-NASD-1999-004 | Microcap Initiative - Proposed Recommendation Rule | |
| SR-NASD-1999-002 | SEC Rule 504 Offerings | |
| SR-NASD-1999-001 | Simplification of Corporate Financing Filing Fees |