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Printer-Friendly 2002 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‑2002‑185	Proposed Amendments to the NASD Registration Rules
SR‑NASD‑2002‑182	Revisions to NASD By-Laws Extending Existing Pilot Program for the Regulatory Fee and the Trading Activity Fee
SR‑NASD‑2002‑180	Proposed Rule Change Regarding Prohibition Against Guarantees and Sharing in Customer Accounts
SR‑NASD‑2002‑176	Proposed Rule Change and Renewal on Pilot Basis of NASD Rule 7010(k) Relating to Fees for the Trade Reporting and Compliance Engine (TRACE)
SR‑NASD‑2002‑174	Proposed Amendments to Rule 6200 Series to Increase Dissemination
SR‑NASD‑2002‑171	Amendment to NASD's Minor Rule Violation Plan
SR‑NASD‑2002‑168	Proposed Rule 2130 Governing Expungement of Customer Dispute Information From the Central Registration Depository (CRD System)
SR‑NASD‑2002‑167	Amendments to NASD Rule 7010(k) Relating to Fees for the Trade Reporting and Compliance Engine (TRACE)
SR‑NASD‑2002‑166	Margin Rule Amendments for Security Futures Contracts
SR‑NASD‑2002‑162	Proposed Supervisory Control Amendments
SR‑NASD‑2002‑161	To Establish Effective Dates For NASD Rule 2711, Research Analysts and Reports
SR‑NASD‑2002‑154	Proposed Amendments to Rules Governing Research Analyst Conflicts of Interest
SR‑NASD‑2002‑148	Revisions to By-Laws Regarding the Regulatory Fee and the SEC Section 31 Transaction Fee
SR‑NASD‑2002‑147	Sunsetting Revisions to By-Laws Regarding the Regulatory Fee and the Trading Activity Fee Established in SR-NASD-2002-98
SR‑NASD‑2002‑146	Proposed Amendments to Rule 3011 to Require Members to Identify an Anti-Money Laundering Compliance Person
SR‑NASD‑2002‑145	Proposed Rule Change to NASD Interpretive Material 2260 (IM-2260)
SR‑NASD‑2002‑134	Proposed Rule Change to Option Position and Exercise Limits; NASD Rule 2860
SR‑NASD‑2002‑128	Security Futures Risk Disclosure Statement
SR‑NASD‑2002‑126	Pilot Amendment to IM-10100 Arbitration Code Procedure to Require Industry Parties in Arbitration to Waive Application of Contested California Arbitrator Disclosure Standards
SR‑NASD‑2002‑124	Proposed Amendment to Rule 2260 to Expand the Definition of "Designated Investment Adviser"
SR‑NASD‑2002‑112	Proposed Amendments to Rule 3070 Requiring Members To File Copies Of Criminal and Civil Complaints and Arbitration Claims with NASD
SR‑NASD‑2002‑110	Proposed Registration Category for Proctors of In-Firm Delivery of the Regulatory Element
SR‑NASD‑2002‑108	Business Continuity Plans and Emergency Contact Information
SR‑NASD‑2002‑103	Proposed Rule Change to NASD Interpretive Material 8310-2 (IM-8310-2)
SR‑NASD‑2002‑100	Proposed Rule Change to Section 4 of Schedule A to the NASD By-Laws
SR‑NASD‑2002‑099	Revisions to By-Laws Regarding Gross Income Assessments and Personnel Assessments
SR‑NASD‑2002‑098	Revisions to By-Laws Regarding the Regulatory Fee and the SEC Section 31 Transaction Fee
SR‑NASD‑2002‑097	Proposed Rule Change Relating to the Operation of NASD's Alternative Display Facility as a Temporary Pilot
SR‑NASD‑2002‑087	To Establish Effective Dates For NASD Rule 2711, Research Analysts and Reports
SR‑NASD‑2002‑074	Amendment to Correct Research Analyst Rule Language
SR‑NASD‑2002‑070	Proposed Amendments to NASD Rules Regarding Replacement Hearing Officers' Authority to Participate in Hearing Panel Decisions
SR‑NASD‑2002‑069	Posting of Margin Disclosure and Day-Trading Risk Disclosure Statements on Web Sites
SR‑NASD‑2002‑063	Proposed Fees for the Trade Reporting and Compliance Engine ("TRACE") for Corporate Bonds
SR‑NASD‑2002‑062	Amending Code of Arbitration Procedure to Conform Rule 10314(b) to the Current Minimum Standard Applicable to Claims
SR‑NASD‑2002‑052	Revisions to Series 22 Examination Program
SR‑NASD‑2002‑051	Revisions to Series 55 Examination Program
SR‑NASD‑2002‑050	Revisions to Series 39 Examination Program
SR‑NASD‑2002‑049	Revisions to Series 82 Examination Program
SR‑NASD‑2002‑048	Revisions to Series 27 Examination Program
SR‑NASD‑2002‑047	Revisions to Series 28 Examination Program
SR‑NASD‑2002‑046	Amendments to Trade Reporting and Compliance Engine Rules (TRACE Rules)
SR‑NASD‑2002‑040	Security Futures Rules
SR‑NASD‑2002‑038	Replacement of Arbitrator Under Rule 10313 Upon Disqualification or Other Disability of an Arbitrator
SR‑NASD‑2002‑028	Fees Relating to the NASD Alternative Display Facility
SR‑NASD‑2002‑027	Proposed Rule Change to NASD Rule 3070
SR‑NASD‑2002‑024	Anti-Money Laundering Compliance Programs
SR‑NASD‑2002‑021	Rule Regarding Research Analyst Conflicts of Interest
SR‑NASD‑2002‑015	Default Procedures for Claims against Terminated Members and Associated Persons
SR‑NASD‑2002‑012	Proposed Rule Change to Subordination Agreement Requirements
SR‑NASD‑2002‑011	Amendments to Rule 2260 to Require Broker-Dealers to Forward Communications Regarding Debt Securities to Beneficial Owners
SR‑NASD‑2002‑005	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‑2002‑004	Amendments to the Taping Rule
SR‑NASD‑2002‑003	Amendment to Relieve Registered Representatives Serving in Armed Forces from Continuing Education Requirements
SR‑NASD‑2002‑002	Rule Change to Amend NASD Code of Procedure Rule 9522