FINRA - Rules & Regulation - Contribution Data For Section '1999 Index', Region 'region1'

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Home > Rules & Regulation > Rule Filings > 1999 Rule Filings
Printer-Friendly 1999 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‑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‑1999‑053	Nasdaq Announces New Electronic Order Display Facility (Alert #1999-55 and attachments)
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‑1999‑028	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