Rule Filings
View the Rule Filing Status Report.
Rule Filing Number Sort ascending | Title |
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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 |