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Printer-Friendly 2003 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‑2003‑201	Amendments to Schedule A of the NASD By-Laws to Adjust the Trading Activity Fee Rate and Add TRACE-Eligible and Municipal Securities as Covered Securities
SR‑NASD‑2003‑200	Technical Amendment to Rule 2130
SR‑NASD‑2003‑197	To Further Delay Implementation Date of Amendments to Article VIII (District Committees and District Nominating Committees) of the By-Laws of NASD Regulation, Inc.
SR‑NASD‑2003‑194	Proposed Rule Change to Section 5 of Schedule A to the NASD By-Laws
SR‑NASD‑2003‑193	Amendments to Reduce Fee for Regulatory Element of Continuing Education Program
SR‑NASD‑2003‑192	Proposed Rule Change to Section 4 of Schedule A to the NASD By-Laws
SR‑NASD‑2003‑190	Interpretations in a Forthcoming Notice to Members Describing Rule 2790
SR‑NASD‑2003‑186	Administration of Qualification Examinations on Security Futures
SR‑NASD‑2003‑184	Review and Update of Member Executive Representative Designation and Contact Information
SR‑NASD‑2003‑183	Proposed Amendments to Rule 1120 Regarding Regulatory Element Contact Person
SR‑NASD‑2003‑182	Proposed Amendments to "TRACE-Eligible Security" and an Exemption to Trade Reporting
SR‑NASD‑2003‑181	Proposed Rule Change To Expressly State NASD's Authority to Suspend Quotations of ADF Market Participants
SR‑NASD‑2003‑177	Technical Amendments to Interpretative Material 3130 (IM-3130)
SR‑NASD‑2003‑176	Chief Executive Officer and Chief Compliance Officer Certification Proposal
SR‑NASD‑2003‑175	Proposed Amendments to Repeal Rule 4613A(e)(1) Requiring Same-Priced Quotations on Multiple Markets
SR‑NASD‑2003‑168	Release of Information Through the Public Disclosure Program
SR‑NASD‑2003‑166	Amendments to Schedule B to the NASD By-Laws
SR‑NASD‑2003‑164	Three-Day Adjournment Rule
SR‑NASD‑2003‑163	Voluntary Direct Communication Between Parties and Arbitrators
SR‑NASD‑2003‑158	Reorganization and Revision of NASD Rules Relating to Customer Disputes
SR‑NASD‑2003‑157	Permanent Approval of Fees for the Trade Reporting and Compliance Engine (TRACE)
SR‑NASD‑2003‑153	Amendment to Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Regarding Waiver of California Arbitrator Disclosure Standards; Immediate Effectiveness Requested
SR‑NASD‑2003‑151	Online Arbitration Case Filing Pilot Program
SR‑NASD‑2003‑148	Amendment to NASD's Minor Rule Violation Plan and Late Fee Provision
SR‑NASD‑2003‑147	Amendment to the Delegation Plan to Remove NASDAQ Representation of NASD under the UTP Plan
SR‑NASD‑2003‑145	Proposed Rule Change to Give Authority to NASD's Market Regulation Committee to Review Alternative Display Facility System Outage and Denial of Excused Withdrawal Determinations
SR‑NASD‑2003‑144	Extension of Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Regarding Waiver of California Arbitrator Disclosure Standards; Immediate Effectiveness Requested
SR‑NASD‑2003‑141	Additional Mark-Up Policy for Transactions in Debt Securities
SR‑NASD‑2003‑140	Proposed Rule Governing Allocations and Distributions of Shares in Initial Public Offerings
SR‑NASD‑2003‑139	Technical Amendment to NASD Rule 2710
SR‑NASD‑2003‑138	Amendments to Schedule B to the NASD By-Laws
SR‑NASD‑2003‑136	Amendments to NASD Rules 1013 and 1140
SR‑NASD‑2003‑133	Delayed Data Fee for the Trade Reporting and Compliance Engine (TRACE)
SR‑NASD‑2003‑131	National Do-Not-Call Registry
SR‑NASD‑2003‑126	Proposed Amendment to Expiration Date of Rules Relating to Bond Fund Volatility Ratings
SR‑NASD‑2003‑122	Proposal to Conduct Background Verification and Charge Application Fee for NASD Neutral Roster Applicants
SR‑NASD‑2003‑110	Uniform Hearing Procedures for and Consolidation of Rules Applicable to Expedited Proceedings
SR‑NASD‑2003‑109	Proposed Rule Change to Section 4 of Schedule A to the NASD By-Laws
SR‑NASD‑2003‑107	To Delay Implementation Date of Amendments to Article VIII (District Committees and District Nominating Committees) of the By-Laws of NASD Regulation, Inc.
SR‑NASD‑2003‑106	Amendments to Pilot Rule in IM-10100(f) and (g) of the Code of Arbitration Procedure to Require Industry Parties in Arbitration to Waive Application of Contested California Arbitrator Disclosure Standards, upon the Request of Customers or Associated Persons; Immediate Effectiveness Requested
SR‑NASD‑2003‑104	Proposed New Uniform Definition of "Branch Office" under NASD Rule 3010(g)(2)
SR‑NASD‑2003‑101	Amendment to Rule 10304 of the NASD Code of Arbitration Procedure Governing Time Limits for Submission of Claims in Arbitration
SR‑NASD‑2003‑099	Proposed Amendment to Rule 6260 New Issue Notification Procedures
SR‑NASD‑2003‑097	Extension on Pilot Basis of NASD Rule 7010(k) Relating to Fees for the Trade Reporting and Compliance Engine (TRACE)
SR‑NASD‑2003‑095	Amendments to Rule 10308 and 10312 of the NASD Code of Arbitration Procedure Governing Arbitrator Classification
SR‑NASD‑2003‑094	Technical Amendment to NASD Rule 2210
SR‑NASD‑2003‑093	Proposed Rule Change to By-Laws Regarding the Trading Activity Fee
SR‑NASD‑2003‑092	Borrowing from or Lending to Customers
SR‑NASD‑2003‑091	Series 23 Examination Program
SR‑NASD‑2003‑079	To Establish Effective Dates For NASD Rule 2711, Research Analysts and Reports
SR‑NASD‑2003‑078	Proposed Amendment to Rule 6230 to Reduce Reporting Period
SR‑NASD‑2003‑075	Proposed Amendments Regarding Requests for Underwriting Activity Reports
SR‑NASD‑2003‑074	Proposed Rule Change Regarding Regulation of Activities of Members Experiencing Financial and/or Operational Difficulties
SR‑NASD‑2003‑073	Revisions to NASD By-Laws Extending Existing Pilot Program for the Regulatory Fee and the Trading Activity Fee
SR‑NASD‑2003‑069	Proposed Rule Change Regarding Failure to Pay Arbitration Awards
SR‑NASD‑2003‑068	Amendments to the Non-Cash Compensation Provisions of NASD Rule 2710 (Corporate Financing) and Rule 2810 (Direct Participation Programs)
SR‑NASD‑2003‑067	Proposed Rule Change to Extend Operation of NASD's Alternative Display Facility as a Temporary Pilot
SR‑NASD‑2003‑065	Revisions to NASD By-Laws Extending Existing Pilot Program for the Regulatory Fee and the Trading Activity Fee
SR‑NASD‑2003‑064	Extension of Pilot Rule in IM-10100(f) and (g) of the Code of Arbitration Procedure to Require Industry Parties in Arbitration to Waive Application of Contested California Arbitrator Disclosure Standards, upon the Request of Customers or Associated Persons with Claims of Statutory Employment Discrimination; Immediate Effectiveness Requested
SR‑NASD‑2003‑057	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‑2003‑055	Proposed Amendments to Article VIII (District Committees and District Nominating Committees) of the By-Laws of NASD Regulation, Inc.
SR‑NASD‑2003‑045	Margin Rule for Security Futures Contracts
SR‑NASD‑2003‑041	Proposal to Disseminate Up to Thirty Additional Corporate Bonds Under Trade Reporting and Compliance Engine Rules ("TRACE Rules")
SR‑NASD‑2003‑036	Amendments to NASD Rule 2340
SR‑NASD‑2003‑031	Margin Rule for Security Futures Contracts
SR‑NASD‑2003‑026	Revisions to NASD By-Laws Extending Existing Pilot Program for the Regulatory Fee and the Trading Activity Fee
SR‑NASD‑2003‑025	Proposed Temporary Fee Reductions and Extension on Pilot Basis of NASD Rule 7010(k) Relating to Fees for the Trade Reporting and Compliance Engine (TRACE)
SR‑NASD‑2003‑024	Proposed Amendments to the NASD Registration Rules
SR‑NASD‑2003‑019	Proposed Rule Change to NASD Interpretive Material 2260 (IM-2260)
SR‑NASD‑2003‑018	Proposed Rule Change to Section 9 of Schedule A to the NASD By-Laws
SR‑NASD‑2003‑013	Proposed Interpretive Material Regarding the Use of Investment Analysis Tools
SR‑NASD‑2003‑009	Fees Relating to the NASD Alternative Display Facility
SR‑NASD‑2003‑007	Proposed Amendments to Membership Application Rules
SR‑NASD‑2003‑001	Refund of Member Surcharges in Arbitration