Rule Filings

Rule Filing Numbersort descending Title
SR-NASD-2000-058 Transactions Involving Association and American Stock Exchange Employees
SR-NASD-2000-064 In-Firm Delivery of the Regulatory Element of the Continuing Education Requirements
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-2000-068 Proposed Rule Change to Amend Uniform Practice Code Rule 11870(e)
SR-NASD-2000-069 Limited Representative - Private Securities Offerings
SR-NASD-2000-070 Amendment to Effective Date of Phase Three of Order Audit Trail System Rules
SR-NASD-2000-075 Extension of Effectiveness of Pilot Injunctive Relief Rule
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-2001-006 Amendment to Composition of NASD Board
SR-NASD-2001-008 Proposal to Limit Enforcement of Predispute Arbitration Agreements by Terminated or Suspended Members
SR-NASD-2001-013 Amendments to the By-Law Definitions of Broker and Dealer
SR-NASD-2001-019 Reporting Requirements for Clearing Members
SR-NASD-2001-020 Notice to Members on the Suitability Rule and Online Communications
SR-NASD-2001-021 Amendments to NASD Code of Arbitration Procedure to Modify Certain Provisions Relating to the Assessment and Payment of Fees
SR-NASD-2001-022 Revisions to Series 26 Examination Program; Immediate Effectiveness Requested
SR-NASD-2001-023 Revisions to Series 24 and 62 Examination Programs; Immediate Effectiveness Requested
SR-NASD-2001-026 Series 82 Examination Program
SR-NASD-2001-046 Mandatory Electronic Filing of Public Offerings
SR-NASD-2001-047 Rules 3115 and 3340 - Audit Trail and Trading Halt Requirements for Security Futures
SR-NASD-2001-049 Amendment to Expiration Date of Rules Relating to Bond Mutual Fund Volatility Ratings
SR-NASD-2001-053 Proposed Rule Change to Amend Uniform Practice Code Rule 11870(c) and Rule 11870(d)
SR-NASD-2001-057 Amendments to NASD Regulation, Inc. By-Laws
SR-NASD-2001-058 Proposed Rule Change to Amend NASD Code of Procedure Rule 9216 and NASD Code of Procedure Rule 9270
SR-NASD-2001-062 Amendment to NASD Code of Arbitration Procedure Rule 10333 Relating to Member Surcharges, and Hearing and Prehearing Process Fees; Immediate Effectiveness Requested; and Notice of Withdrawal of SR-NASD-2001-52
SR-NASD-2001-070 Amendments to Rule 2320(g) and Rule 3110(b)(2) Relating to Foreign Securities and Institutional Orders