Rule Filings

Rule Filing Number Titlesort descending
SR-NASD-2002-038 Replacement of Arbitrator Under Rule 10313 Upon Disqualification or Other Disability of an Arbitrator
SR-NASD-2001-019 Reporting Requirements for Clearing Members
SR-NASD-2003-184 Review and Update of Member Executive Representative Designation and Contact Information
SR-NASD-1998-052 Review of Incoming, Non-electronic Correspondence with the Public
SR-NASD-2002-099 Revisions to By-Laws Regarding Gross Income Assessments and Personnel Assessments
SR-NASD-2002-148 Revisions to By-Laws Regarding the Regulatory Fee and the SEC Section 31 Transaction Fee
SR-NASD-2002-098 Revisions to By-Laws Regarding the Regulatory Fee and the SEC Section 31 Transaction Fee
SR-NASD-2003-026 Revisions to NASD By-Laws Extending Existing Pilot Program for the Regulatory Fee and the Trading Activity Fee
SR-NASD-2003-073 Revisions to NASD By-Laws Extending Existing Pilot Program for the Regulatory Fee and the Trading Activity Fee
SR-NASD-2003-065 Revisions to NASD By-Laws Extending Existing Pilot Program for the Regulatory Fee and the Trading Activity Fee
SR-NASD-2002-182 Revisions to NASD By-Laws Extending Existing Pilot Program for the Regulatory Fee and the Trading Activity Fee
SR-NASD-2002-052 Revisions to Series 22 Examination Program
SR-NASD-2001-023 Revisions to Series 24 and 62 Examination Programs; Immediate Effectiveness Requested
SR-NASD-2001-022 Revisions to Series 26 Examination Program; Immediate Effectiveness Requested
SR-NASD-2002-048 Revisions to Series 27 Examination Program
SR-NASD-2002-047 Revisions to Series 28 Examination Program
SR-NASD-2002-050 Revisions to Series 39 Examination Program
SR-NASD-2002-051 Revisions to Series 55 Examination Program
SR-NASD-2002-049 Revisions to Series 82 Examination Program
SR-NASD-2006-082 Revisions to the Series 22 Examination Program.
SR-FINRA-2007-027 Revisions to the Series 23 Examination Program
SR-FINRA-2007-028 Revisions to the Series 24 Examination Program
SR-NASD-2006-083 Revisions to the Series 27 Examination Program.
SR-NASD-2006-084 Revisions to the Series 28 Examination Program.
SR-NASD-2006-085 Revisions to the Series 39 Examination Program.

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