2002 Rule Filings

SR-NASD-2002-185   Proposed Amendments to the NASD Registration Rules
SR-NASD-2002-182   Revisions to NASD By-Laws Extending Existing Pilot Program for the Regulatory Fee and the Trading Activity Fee
SR-NASD-2002-180   Proposed Rule Change Regarding Prohibition Against Guarantees and Sharing in Customer Accounts
SR-NASD-2002-176   Proposed Rule Change and Renewal on Pilot Basis of NASD Rule 7010(k) Relating to Fees for the Trade Reporting and Compliance Engine (TRACE)
SR-NASD-2002-174   Proposed Amendments to Rule 6200 Series to Increase Dissemination
SR-NASD-2002-171   Amendment to NASD's Minor Rule Violation Plan
SR-NASD-2002-168   Proposed Rule 2130 Governing Expungement of Customer Dispute Information From the Central Registration Depository (CRD System)
SR-NASD-2002-167   Amendments to NASD Rule 7010(k) Relating to Fees for the Trade Reporting and Compliance Engine (TRACE)
SR-NASD-2002-166   Margin Rule Amendments for Security Futures Contracts
SR-NASD-2002-162   Proposed Supervisory Control Amendments
SR-NASD-2002-161   To Establish Effective Dates For NASD Rule 2711, Research Analysts and Reports
SR-NASD-2002-154   Proposed Amendments to Rules Governing Research Analyst Conflicts of Interest
SR-NASD-2002-148   Revisions to By-Laws Regarding the Regulatory Fee and the SEC Section 31 Transaction Fee
SR-NASD-2002-147   Sunsetting Revisions to By-Laws Regarding the Regulatory Fee and the Trading Activity Fee Established in SR-NASD-2002-98
SR-NASD-2002-146   Proposed Amendments to Rule 3011 to Require Members to Identify an Anti-Money Laundering Compliance Person
SR-NASD-2002-145   Proposed Rule Change to NASD Interpretive Material 2260 (IM-2260)
SR-NASD-2002-134   Proposed Rule Change to Option Position and Exercise Limits; NASD Rule 2860
SR-NASD-2002-128   Security Futures Risk Disclosure Statement
SR-NASD-2002-126   Pilot Amendment to IM-10100 Arbitration Code Procedure to Require Industry Parties in Arbitration to Waive Application of Contested California Arbitrator Disclosure Standards
SR-NASD-2002-124   Proposed Amendment to Rule 2260 to Expand the Definition of "Designated Investment Adviser"
SR-NASD-2002-112   Proposed Amendments to Rule 3070 Requiring Members To File Copies Of Criminal and Civil Complaints and Arbitration Claims with NASD
SR-NASD-2002-110   Proposed Registration Category for Proctors of In-Firm Delivery of the Regulatory Element
SR-NASD-2002-108   Business Continuity Plans and Emergency Contact Information
SR-NASD-2002-103   Proposed Rule Change to NASD Interpretive Material 8310-2 (IM-8310-2)
SR-NASD-2002-100   Proposed Rule Change to Section 4 of Schedule A to the NASD By-Laws
SR-NASD-2002-099   Revisions to By-Laws Regarding Gross Income Assessments and Personnel Assessments
SR-NASD-2002-098   Revisions to By-Laws Regarding the Regulatory Fee and the SEC Section 31 Transaction Fee
SR-NASD-2002-097   Proposed Rule Change Relating to the Operation of NASD's Alternative Display Facility as a Temporary Pilot
SR-NASD-2002-087   To Establish Effective Dates For NASD Rule 2711, Research Analysts and Reports
SR-NASD-2002-074   Amendment to Correct Research Analyst Rule Language
SR-NASD-2002-070   Proposed Amendments to NASD Rules Regarding Replacement Hearing Officers' Authority to Participate in Hearing Panel Decisions
SR-NASD-2002-069   Posting of Margin Disclosure and Day-Trading Risk Disclosure Statements on Web Sites
SR-NASD-2002-063   Proposed Fees for the Trade Reporting and Compliance Engine ("TRACE") for Corporate Bonds
SR-NASD-2002-062   Amending Code of Arbitration Procedure to Conform Rule 10314(b) to the Current Minimum Standard Applicable to Claims
SR-NASD-2002-052   Revisions to Series 22 Examination Program
SR-NASD-2002-051   Revisions to Series 55 Examination Program
SR-NASD-2002-050   Revisions to Series 39 Examination Program
SR-NASD-2002-049   Revisions to Series 82 Examination Program
SR-NASD-2002-048   Revisions to Series 27 Examination Program
SR-NASD-2002-047   Revisions to Series 28 Examination Program
SR-NASD-2002-046   Amendments to Trade Reporting and Compliance Engine Rules (TRACE Rules)
SR-NASD-2002-040   Security Futures Rules
SR-NASD-2002-038   Replacement of Arbitrator Under Rule 10313 Upon Disqualification or Other Disability of an Arbitrator
SR-NASD-2002-028   Fees Relating to the NASD Alternative Display Facility
SR-NASD-2002-027   Proposed Rule Change to NASD Rule 3070
SR-NASD-2002-024   Anti-Money Laundering Compliance Programs
SR-NASD-2002-021   Rule Regarding Research Analyst Conflicts of Interest
SR-NASD-2002-015   Default Procedures for Claims against Terminated Members and Associated Persons
SR-NASD-2002-012   Proposed Rule Change to Subordination Agreement Requirements
SR-NASD-2002-011   Amendments to Rule 2260 to Require Broker-Dealers to Forward Communications Regarding Debt Securities to Beneficial Owners
SR-NASD-2002-005   Proposed Rule Change to Revise Uniform Application for Securities Industry Registration or Transfer (Form U-4) and Uniform Termination Notice for Securities Industry Registration (Form U-5)
SR-NASD-2002-004   Amendments to the Taping Rule
SR-NASD-2002-003   Amendment to Relieve Registered Representatives Serving in Armed Forces from Continuing Education Requirements
SR-NASD-2002-002   Rule Change to Amend NASD Code of Procedure Rule 9522