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Home > Rules & Regulation > Rule Filings > 1998 Rule Filings
Printer-Friendly 1998 Rule Filings

Rule filings are not effective until approved by the Securities and Exchange Commission (SEC), with the exception of certain limited types of rule filings that may take effect upon filing with the SEC if they meet the conditions specified under Section 19 of the Securities Exchange Act of 1934 (Exchange Act). In addition, some rule filings may be followed by amendments that modify the original filing.

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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