FINRA - Rules & Regulation - Contribution Data For Section '2001 Index', Region 'region1'

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Printer-Friendly 2001 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‑2001‑095	Adoption of Interpretive Material Regarding Interfering with the Transfer of Customer Accounts
SR‑NASD‑2001‑091	To Establish Effective Date of Debt Securities Reporting and Dissemination Rules (Rule 6200 Series)
SR‑NASD‑2001‑090	Notice of Proposed Rule Change Relating to NASDAQ Separation from the NASD and the Establishment of the NASD Alternative Display Facility
SR‑NASD‑2001‑085	Amendments to NASD Rule 3370, Affirmative Determination Requirements
SR‑NASD‑2001‑074	Amendments to NASD Regulation, Inc. By-Laws
SR‑NASD‑2001‑070	Amendments to Rule 2320(g) and Rule 3110(b)(2) Relating to Foreign Securities and Institutional Orders
SR‑NASD‑2001‑062	Amendment to NASD Code of Arbitration Procedure Rule 10333 Relating to Member Surcharges, and Hearing and Prehearing Process Fees; Immediate Effectiveness Requested; and Notice of Withdrawal of SR-NASD-2001-52
SR‑NASD‑2001‑058	Proposed Rule Change to Amend NASD Code of Procedure Rule 9216 and NASD Code of Procedure Rule 9270
SR‑NASD‑2001‑057	Amendments to NASD Regulation, Inc. By-Laws
SR‑NASD‑2001‑053	Proposed Rule Change to Amend Uniform Practice Code Rule 11870(c) and Rule 11870(d)
SR‑NASD‑2001‑049	Amendment to Expiration Date of Rules Relating to Bond Mutual Fund Volatility Ratings
SR‑NASD‑2001‑047	Rules 3115 and 3340 - Audit Trail and Trading Halt Requirements for Security Futures
SR‑NASD‑2001‑046	Mandatory Electronic Filing of Public Offerings
SR‑NASD‑2001‑026	Series 82 Examination Program
SR‑NASD‑2001‑023	Revisions to Series 24 and 62 Examination Programs; Immediate Effectiveness Requested
SR‑NASD‑2001‑022	Revisions to Series 26 Examination Program; Immediate Effectiveness Requested
SR‑NASD‑2001‑021	Amendments to NASD Code of Arbitration Procedure to Modify Certain Provisions Relating to the Assessment and Payment of Fees
SR‑NASD‑2001‑020	Notice to Members on the Suitability Rule and Online Communications
SR‑NASD‑2001‑019	Reporting Requirements for Clearing Members
SR‑NASD‑2001‑013	Amendments to the By-Law Definitions of Broker and Dealer
SR‑NASD‑2001‑008	Proposal to Limit Enforcement of Predispute Arbitration Agreements by Terminated or Suspended Members
SR‑NASD‑2001‑006	Amendment to Composition of NASD Board