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 |