Rule Filings

Rule Filing Number Titlesort ascending
SR-NASD-2001-070 Amendments to Rule 2320(g) and Rule 3110(b)(2) Relating to Foreign Securities and Institutional Orders
SR-NASD-2004-130 Amendments to Rule 2320(g) and Rule 3110(b)(2) Relating to Foreign Securities
SR-NASD-2000-020 Amendments to Rule 2320(g) and Rule 3110(b)
SR-NASD-2002-011 Amendments to Rule 2260 to Require Broker-Dealers to Forward Communications Regarding Debt Securities to Beneficial Owners
SR-NASD-1999-063 Amendments to Rule 2260 Governing Giving of Proxies by Members Absent Written Instructions from Beneficial Owners
SR-NASD-2003-095 Amendments to Rule 10308 and 10312 of the NASD Code of Arbitration Procedure Governing Arbitrator Classification
SR-NASD-2004-115 Amendments to Reduce the Fee for the Regulatory Element of Continuing Education Program
SR-NASD-2003-193 Amendments to Reduce Fee for Regulatory Element of Continuing Education Program
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-2001-057 Amendments to NASD Regulation, Inc. By-Laws
SR-NASD-2001-074 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.

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