Rule Filings

Rule Filing Number Titlesort ascending
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

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