2003 Rule Filings

SR-NASD-2003-201   Amendments to Schedule A of the NASD By-Laws to Adjust the Trading Activity Fee Rate and Add TRACE-Eligible and Municipal Securities as Covered Securities
SR-NASD-2003-200   Technical Amendment to Rule 2130
SR-NASD-2003-197   To Further Delay Implementation Date of Amendments to Article VIII (District Committees and District Nominating Committees) of the By-Laws of NASD Regulation, Inc.
SR-NASD-2003-194   Proposed Rule Change to Section 5 of Schedule A to the NASD By-Laws
SR-NASD-2003-193   Amendments to Reduce Fee for Regulatory Element of Continuing Education Program
SR-NASD-2003-192   Proposed Rule Change to Section 4 of Schedule A to the NASD By-Laws
SR-NASD-2003-190   Interpretations in a Forthcoming Notice to Members Describing Rule 2790
SR-NASD-2003-186   Administration of Qualification Examinations on Security Futures
SR-NASD-2003-184   Review and Update of Member Executive Representative Designation and Contact Information
SR-NASD-2003-183   Proposed Amendments to Rule 1120 Regarding Regulatory Element Contact Person
SR-NASD-2003-182   Proposed Amendments to "TRACE-Eligible Security" and an Exemption to Trade Reporting
SR-NASD-2003-181   Proposed Rule Change To Expressly State NASD's Authority to Suspend Quotations of ADF Market Participants
SR-NASD-2003-177   Technical Amendments to Interpretative Material 3130 (IM-3130)
SR-NASD-2003-176   Chief Executive Officer and Chief Compliance Officer Certification Proposal
SR-NASD-2003-175   Proposed Amendments to Repeal Rule 4613A(e)(1) Requiring Same-Priced Quotations on Multiple Markets
SR-NASD-2003-168   Release of Information Through the Public Disclosure Program
SR-NASD-2003-166   Amendments to Schedule B to the NASD By-Laws
SR-NASD-2003-164   Three-Day Adjournment Rule
SR-NASD-2003-163   Voluntary Direct Communication Between Parties and Arbitrators
SR-NASD-2003-158   Reorganization and Revision of NASD Rules Relating to Customer Disputes
SR-NASD-2003-157   Permanent Approval of Fees for the Trade Reporting and Compliance Engine (TRACE)
SR-NASD-2003-153   Amendment to Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Regarding Waiver of California Arbitrator Disclosure Standards; Immediate Effectiveness Requested
SR-NASD-2003-151   Online Arbitration Case Filing Pilot Program
SR-NASD-2003-148   Amendment to NASD's Minor Rule Violation Plan and Late Fee Provision
SR-NASD-2003-147   Amendment to the Delegation Plan to Remove NASDAQ Representation of NASD under the UTP Plan
SR-NASD-2003-145   Proposed Rule Change to Give Authority to NASD's Market Regulation Committee to Review Alternative Display Facility System Outage and Denial of Excused Withdrawal Determinations
SR-NASD-2003-144   Extension of Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Regarding Waiver of California Arbitrator Disclosure Standards; Immediate Effectiveness Requested
SR-NASD-2003-141   Additional Mark-Up Policy for Transactions in Debt Securities
SR-NASD-2003-140   Proposed Rule Governing Allocations and Distributions of Shares in Initial Public Offerings
SR-NASD-2003-139   Technical Amendment to NASD Rule 2710
SR-NASD-2003-138   Amendments to Schedule B to the NASD By-Laws
SR-NASD-2003-136   Amendments to NASD Rules 1013 and 1140
SR-NASD-2003-133   Delayed Data Fee for the Trade Reporting and Compliance Engine (TRACE)
SR-NASD-2003-131   National Do-Not-Call Registry
SR-NASD-2003-126   Proposed Amendment to Expiration Date of Rules Relating to Bond Fund Volatility Ratings
SR-NASD-2003-122   Proposal to Conduct Background Verification and Charge Application Fee for NASD Neutral Roster Applicants
SR-NASD-2003-110   Uniform Hearing Procedures for and Consolidation of Rules Applicable to Expedited Proceedings
SR-NASD-2003-109   Proposed Rule Change to Section 4 of Schedule A to the NASD By-Laws
SR-NASD-2003-107   To Delay Implementation Date of Amendments to Article VIII (District Committees and District Nominating Committees) of the By-Laws of NASD Regulation, Inc.
SR-NASD-2003-106   Amendments to Pilot Rule in IM-10100(f) and (g) of the Code of Arbitration Procedure to Require Industry Parties in Arbitration to Waive Application of Contested California Arbitrator Disclosure Standards, upon the Request of Customers or Associated Persons; Immediate Effectiveness Requested
SR-NASD-2003-104   Proposed New Uniform Definition of "Branch Office" under NASD Rule 3010(g)(2)
SR-NASD-2003-101   Amendment to Rule 10304 of the NASD Code of Arbitration Procedure Governing Time Limits for Submission of Claims in Arbitration
SR-NASD-2003-099   Proposed Amendment to Rule 6260 New Issue Notification Procedures
SR-NASD-2003-097   Extension on Pilot Basis of NASD Rule 7010(k) Relating to Fees for the Trade Reporting and Compliance Engine (TRACE)
SR-NASD-2003-095   Amendments to Rule 10308 and 10312 of the NASD Code of Arbitration Procedure Governing Arbitrator Classification
SR-NASD-2003-094   Technical Amendment to NASD Rule 2210
SR-NASD-2003-093   Proposed Rule Change to By-Laws Regarding the Trading Activity Fee
SR-NASD-2003-092   Borrowing from or Lending to Customers
SR-NASD-2003-091   Series 23 Examination Program
SR-NASD-2003-079   To Establish Effective Dates For NASD Rule 2711, Research Analysts and Reports
SR-NASD-2003-078   Proposed Amendment to Rule 6230 to Reduce Reporting Period
SR-NASD-2003-075   Proposed Amendments Regarding Requests for Underwriting Activity Reports
SR-NASD-2003-074   Proposed Rule Change Regarding Regulation of Activities of Members Experiencing Financial and/or Operational Difficulties
SR-NASD-2003-073   Revisions to NASD By-Laws Extending Existing Pilot Program for the Regulatory Fee and the Trading Activity Fee
SR-NASD-2003-069   Proposed Rule Change Regarding Failure to Pay Arbitration Awards
SR-NASD-2003-068   Amendments to the Non-Cash Compensation Provisions of NASD Rule 2710 (Corporate Financing) and Rule 2810 (Direct Participation Programs)
SR-NASD-2003-067   Proposed Rule Change to Extend Operation of NASD's Alternative Display Facility as a Temporary Pilot
SR-NASD-2003-065   Revisions to NASD By-Laws Extending Existing Pilot Program for the Regulatory Fee and the Trading Activity Fee
SR-NASD-2003-064   Extension of Pilot Rule in IM-10100(f) and (g) of the Code of Arbitration Procedure to Require Industry Parties in Arbitration to Waive Application of Contested California Arbitrator Disclosure Standards, upon the Request of Customers or Associated Persons with Claims of Statutory Employment Discrimination; Immediate Effectiveness Requested
SR-NASD-2003-057   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-2003-055   Proposed Amendments to Article VIII (District Committees and District Nominating Committees) of the By-Laws of NASD Regulation, Inc.
SR-NASD-2003-045   Margin Rule for Security Futures Contracts
SR-NASD-2003-041   Proposal to Disseminate Up to Thirty Additional Corporate Bonds Under Trade Reporting and Compliance Engine Rules ("TRACE Rules")
SR-NASD-2003-036   Amendments to NASD Rule 2340
SR-NASD-2003-031   Margin Rule for Security Futures Contracts
SR-NASD-2003-026   Revisions to NASD By-Laws Extending Existing Pilot Program for the Regulatory Fee and the Trading Activity Fee
SR-NASD-2003-025   Proposed Temporary Fee Reductions and Extension on Pilot Basis of NASD Rule 7010(k) Relating to Fees for the Trade Reporting and Compliance Engine (TRACE)
SR-NASD-2003-024   Proposed Amendments to the NASD Registration Rules
SR-NASD-2003-019   Proposed Rule Change to NASD Interpretive Material 2260 (IM-2260)
SR-NASD-2003-018   Proposed Rule Change to Section 9 of Schedule A to the NASD By-Laws
SR-NASD-2003-013   Proposed Interpretive Material Regarding the Use of Investment Analysis Tools
SR-NASD-2003-009   Fees Relating to the NASD Alternative Display Facility
SR-NASD-2003-007   Proposed Amendments to Membership Application Rules
SR-NASD-2003-001   Refund of Member Surcharges in Arbitration