SR-NASD-2003-158

Reorganization and Revision of NASD Rules Relating to Customer Disputes

NASD has filed with the SEC a proposed rule change to the NASD Code of Arbitration Procedure to reorganize and simplify the current rules governing customer disputes. The proposed rule change would also codify current practices and implement several substantive changes as described herein.

DateTitleFormat - SizeStatus
10/15/2003Text of proposed rule change and Exhibit 1PDF - 116.08 KB
5/4/2006Amendment No. 5 to Proposed Rule ChangePDF - 1.01 MB
7/20/2006Amendment No. 6 to Proposed Rule ChangePDF - 43.65 KB
8/15/2006Amendment No. 7 to Proposed Rule ChangePDF - 612.78 KB
1/24/2007Approval OrderPDF - 270.37 KB
1/24/2007Customer CodePDF - 241.25 KB
10/15/2003Exhibit 2 to proposed rule changePDF - 109.24 KB
10/15/2003Exhibit 3 to proposed rule changePDF - 333.95 KB
10/15/2003Exhibit 4 to proposed rule changePDF - 13.59 KB
10/15/2003Exhibit 5 to proposed rule changePDF - 35.17 KB
1/5/2005Amendment No. 1 to Proposed Rule ChangePDF - 1.04 MB
1/19/2005Amendment No. 2 to Proposed Rule ChangePDF - 22.32 KB
4/8/2005Amendment No. 3 to Proposed Rule ChangePDF - 733.54 KB
6/10/2005Amendment No. 4 to Proposed Rule ChangePDF - 1.75 MB
6/23/2005Federal Register NoticePDF - 94.8 KB