Rule Filings

Rule Filing Number Titlesort descending
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-1998-031 Supervision of Correspondence
SR-NASD-1998-045 Supervision of Correspondence
SR-NASD-1998-010 Supervision of Correspondence
SR-NASD-1999-015 Suspension of NAC Call for Review of Membership Decisions
SR-NASD-2003-094 Technical Amendment to NASD Rule 2210
SR-NASD-2003-139 Technical Amendment to NASD Rule 2710
SR-NASD-2003-200 Technical Amendment to Rule 2130
SR-NASD-2007-024 Technical Amendment to Rule 2520 (Margin Requirements)
SR-NASD-2004-087 Technical Amendment to Section 4 of Schedule A to the NASD By-Laws and to Rule 10308(d) of the NASD Code of Arbitration Procedure; Filed for Immediate Effectiveness
SR-NASD-2003-177 Technical Amendments to Interpretative Material 3130 (IM-3130)
SR-NASD-2006-046 Technical Amendments to Rule 3080 Regarding Disclosures to Associated Persons When Signing Form U-4
SR-NASD-1998-046 Technical Corrections to Delegation Plan and IM-1000-4
SR-NASD-2006-098 Technical, Non-Substantive Amendments to Certain NASD Rules Approved in SR-NASD-2006-055 that were Amended by SR-NASD-2005-087
SR-NASD-2007-027 Temporary Program to Allow Member Firms to Voluntarily Submit Accumulated Funds to NASD
SR-NASD-2007-038 The Proposal Amends the Arbitration Codes to Clarify That, for Purposes of the Codes, the Term Member Includes any Broker or Dealer Admitted to Membership in a Self-Regulatory Organization That, with NASD Consent, has Required its Members to Arbitrate Pursuant to the Codes and/or be Treated as Members of NASD for Purposes of the Codes
SR-NASD-2007-021 The Proposal Amends the Definition of Public Arbitrator under the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Add an Annual Revenue Limitation
SR-FINRA-2007-021 The Proposal is Amending Rules 12206 and 12504 of the Customer Code and Rules 13206 and 13504 of the Industry Code to Address Motions to Dismiss and to Amend the Provision of the Eligibility Rule Related to Dismissals
SR-FINRA-2010-050 The Proposed Rule Change Amends the Codes of Arbitration Procedure to Update the Rules Relating to Online Filing of Arbitration Claims
SR-NASD-2007-022 The Proposed Rule Change Amends the NASD Code of Mediation Procedure. The Proposal is Concerned Solely with the Administration of NASD in That it Renumbers the Rules, Updates Cross References, and Reinserts Rule Language That had Been Reserved
SR-NASD-2006-109 The Proposed Rule Change Amends the Proposed Code of Arbitration Procedure for Customer Disputes and the Proposed Code of Arbitration Procedure for Industry Disputes and the NASD Code of Arbitration Procedure to Address Representation of Parties in Arbitration and Mediation.
SR-NASD-2006-136 The Proposed Rule Change Removes Unnecessary Cross References and Corrects a Grammatical Error in Rule 10308(a)(5)(B)
SR-NASD-2003-164 Three-Day Adjournment Rule
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-2004-093 To Establish a Revised Effective Date For Amendments to Order Audit Trail System Rules Relating to Execution Reports