FINRA - Rules & Regulation - Contribution Data For Section '2000 Index', Region 'region1'

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Home > Rules & Regulation > Rule Filings > 2000 Rule Filings
Printer-Friendly 2000 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‑2000‑077	Proposed Rule Change to Amend Rule 1022(b), Rule 1022(c) (FINOP and Introducing FINOP Registration Requirements) and Rule 9610(a) (Procedures for Exemptive Relief)
SR‑NASD‑2000‑075	Extension of Effectiveness of Pilot Injunctive Relief Rule
SR‑NASD‑2000‑070	Amendment to Effective Date of Phase Three of Order Audit Trail System Rules
SR‑NASD‑2000‑069	Limited Representative - Private Securities Offerings
SR‑NASD‑2000‑068	Proposed Rule Change to Amend Uniform Practice Code Rule 11870(e)
SR‑NASD‑2000‑065	Proposed Amendments to Rule 10334 (Large and Complex Case Rule) to Accelerate Expiration of the Rule from August 1, 2002 to December 31, 2000 - Immediate Effectiveness Requested.
SR‑NASD‑2000‑064	In-Firm Delivery of the Regulatory Element of the Continuing Education Requirements
SR‑NASD‑2000‑058	Transactions Involving Association and American Stock Exchange Employees
SR‑NASD‑2000‑055	Delivery of a Margin Disclosure Statement to Non-Institutional Customers
SR‑NASD‑2000‑053	Amendment to Effective Date of Phase Three of Order Audit Trail System Rules
SR‑NASD‑2000‑042	Recording and Reporting Requirements for Certain Quotation Data
SR‑NASD‑2000‑040	Mandatory Decimalization Pricing Testing
SR‑NASD‑2000‑039	Amendment to Schedule A of the NASD By-Laws for the Timely Filing of Reports, and Amendments to IM-9216, Minor Rule Violation Plan
SR‑NASD‑2000‑038	Application of Rules of the Association and Interpretive Materials thereunder to Certain Exempted Securities
SR‑NASD‑2000‑036	Amendments to Options Rules
SR‑NASD‑2000‑034	Amendments to Rules 10308 and 10312 Concerning the Authority of the Director of Arbitration to Remove Arbitrators for Cause
SR‑NASD‑2000‑033	Amendment to NASD Rule 3340 to Prohibit Publication of Quotations in a Security
SR‑NASD‑2000‑025	Extension of Time to Pass Series 55 Examination, Equity Trader
SR‑NASD‑2000‑024	Confirmation Disclosure of Callable Common Stock
SR‑NASD‑2000‑023	Amendments to Order Audit Trail System Rules
SR‑NASD‑2000‑020	Amendments to Rule 2320(g) and Rule 3110(b)
SR‑NASD‑2000‑015	Margin Rule Amendments Relating to Options Positions
SR‑NASD‑2000‑013	Disclosure of Values for Direct Participation Program and Real Estate Investment Trust Securities on Customer Account Statements
SR‑NASD‑2000‑012	Amendments to Rules Governing Member Communications With the Public
SR‑NASD‑2000‑011	Proposed Rule Change Relating to Mediation Fee Structure
SR‑NASD‑2000‑009	Amendment to Effective Date of Phase Three of Order Audit Trail System Rules
SR‑NASD‑2000‑008	Margin Rule Amendments Relating to Non-Equity Securities and Exempt Accounts
SR‑NASD‑2000‑005	Release of Disciplinary Information
SR‑NASD‑2000‑004	Amendments to the Corporate Financing Rule
SR‑NASD‑2000‑003	Margin Requirements for Day-Trading Customers
SR‑NASD‑2000‑002	Amendments to NASD Code of Arbitration Procedure Rules 10335 and 10205(h) Relating to Injunctive Relief
SR‑NASD‑2000‑001	Notice to Members on Extended Hours Trading