Rule Filings
View the Rule Filing Status Report.
| Rule Filing Number |
Title |
|---|---|
| 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 |
| SR-NASD-2004-002 | Amendments to Alternative Display Facility Rules to Require Advance Written Notice of Denial of Direct or Indirect Electronic Access |
| SR-NASD-2006-074 | Amendments Relating to the Issuer-Directed Securities Exemption in NASD Rule 2790 |
| SR-NASD-1998-091 | Amendment to Time Period for Filing Information Requests in Arbitration |