Rule Filings

Rule Filing Numbersort ascending Title
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