Rule Filings
View the Rule Filing Status Report.
Rule Filing Number |
Title |
|---|---|
| SR-NASD-1999-076 | Amendments to the Code of Procedure and Other Provisions |
| SR-NASD-2000-001 | Notice to Members on Extended Hours Trading |
| SR-NASD-2000-002 | Amendments to NASD Code of Arbitration Procedure Rules 10335 and 10205(h) Relating to Injunctive Relief |
| SR-NASD-2000-003 | Margin Requirements for Day-Trading Customers |
| SR-NASD-2000-004 | Amendments to the Corporate Financing Rule |
| SR-NASD-2000-005 | Release of Disciplinary Information |
| SR-NASD-2000-008 | Margin Rule Amendments Relating to Non-Equity Securities and Exempt Accounts |
| SR-NASD-2000-009 | Amendment to Effective Date of Phase Three of Order Audit Trail System Rules |
| SR-NASD-2000-011 | Proposed Rule Change Relating to Mediation Fee Structure |
| SR-NASD-2000-012 | Amendments to Rules Governing Member Communications With the Public |
| SR-NASD-2000-013 | Disclosure of Values for Direct Participation Program and Real Estate Investment Trust Securities on Customer Account Statements |
| SR-NASD-2000-015 | Margin Rule Amendments Relating to Options Positions |
| SR-NASD-2000-020 | Amendments to Rule 2320(g) and Rule 3110(b) |
| SR-NASD-2000-023 | Amendments to Order Audit Trail System Rules |
| SR-NASD-2000-024 | Confirmation Disclosure of Callable Common Stock |
| SR-NASD-2000-025 | Extension of Time to Pass Series 55 Examination, Equity Trader |
| SR-NASD-2000-033 | Amendment to NASD Rule 3340 to Prohibit Publication of Quotations in a Security |
| 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-2000-036 | Amendments to Options Rules |
| SR-NASD-2000-038 | Application of Rules of the Association and Interpretive Materials thereunder to Certain Exempted Securities |
| 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-2000-040 | Mandatory Decimalization Pricing Testing |
| SR-NASD-2000-042 | Recording and Reporting Requirements for Certain Quotation Data |
| SR-NASD-2000-053 | Amendment to Effective Date of Phase Three of Order Audit Trail System Rules |
| SR-NASD-2000-055 | Delivery of a Margin Disclosure Statement to Non-Institutional Customers |