Rule Filings
View the Rule Filing Status Report.
| Rule Filing Number |
Title |
|---|---|
| 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-2004-023 | Amendments to Order Audit Trail System Rules Relating to Execution Reports |
| SR-NASD-2000-023 | Amendments to Order Audit Trail System Rules |
| SR-NASD-2000-036 | Amendments to Options Rules |
| SR-NASD-1998-038 | Amendments to OATS Rules |
| SR-NASD-2004-110 | Amendments to NASD, NASD Regulation, and NASD Dispute Resolution By-Laws Relating to Divestiture of American Stock Exchange |
| SR-NASD-2004-025 | Amendments to NASD's Minor Rule Violation Plan |
| SR-NASD-2004-121 | Amendments to NASD's Minor Rule Violation Plan |
| SR-NASD-2006-091 | Amendments to NASD Rules to Align Them with Regulation NMS and to Allow for Quoting, Trade Reporting and Clearing Through the Alternative Display Facility for all NMS Stock. |
| SR-NASD-2003-136 | Amendments to NASD Rules 1013 and 1140 |
| SR-NASD-2002-167 | Amendments to NASD Rule 7010(k) Relating to Fees for the Trade Reporting and Compliance Engine (TRACE) |
| SR-NASD-2001-085 | Amendments to NASD Rule 3370, Affirmative Determination Requirements |
| SR-NASD-2004-141 | Amendments to NASD Rule 2711 to Prohibit Participation by Research Analysts in Road Shows |
| SR-NASD-2003-036 | Amendments to NASD Rule 2340 |
| SR-NASD-2001-074 | Amendments to NASD Regulation, Inc. By-Laws |
| SR-NASD-2001-057 | Amendments to NASD Regulation, Inc. By-Laws |
| SR-NASD-1999-036 | Amendments to NASD Regulation By-Laws Relating to the Election of Chairs and Vice Chairs of the National Adjudicatory Council. |
| SR-NASD-1998-036 | Amendments to NASD Regulation By-Laws Relating to At-Large Industry Members of the National Adjudicatory Council |
| 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-2000-002 | Amendments to NASD Code of Arbitration Procedure Rules 10335 and 10205(h) Relating to Injunctive Relief |
| SR-NASD-1999-067 | Amendments to Member Admission Rules |
| SR-NASD-1999-045 | Amendments to Interpretation Governing Public Disclosure Program |
| SR-NASD-1999-019 | Amendments to IM-10100 to Facilitate Use of Non-SRO Arbitration Forums |
| SR-NASD-1998-096 | Amendments to Forms U-4 and U-5 |
| SR-NASD-1999-008 | Amendments to Code of Arbitration Procedure Relating to the Arbitration Process for Claims of Employment Discrimination |