Rule Filings
View the Rule Filing Status Report.
| Rule Filing Number |
Title |
|---|---|
| SR-NASD-2000-012 | Amendments to Rules Governing Member Communications With the Public |
| SR-NASD-2004-145 | Amendments to Schedule 4 to the NASD By-Laws (Fees for Qualification Examinations) |
| SR-NASD-2003-201 | Amendments to Schedule A of the NASD By-Laws to Adjust the Trading Activity Fee Rate and Add TRACE-Eligible and Municipal Securities as Covered Securities |
| SR-NASD-2003-138 | Amendments to Schedule B to the NASD By-Laws |
| SR-NASD-2003-166 | Amendments to Schedule B to the NASD By-Laws |
| SR-NASD-2004-116 | Amendments to Supervisory Control and Inspection Procedures Rules |
| SR-NASD-2004-111 | Amendments to Supervisory Control and Inspection Procedures Rules |
| SR-NASD-2001-013 | Amendments to the By-Law Definitions of Broker and Dealer |
| SR-NASD-1999-076 | Amendments to the Code of Procedure and Other Provisions |
| SR-NASD-2000-004 | Amendments to the Corporate Financing Rule |
| SR-NASD-2003-068 | Amendments to the Non-Cash Compensation Provisions of NASD Rule 2710 (Corporate Financing) and Rule 2810 (Direct Participation Programs) |
| SR-NASD-2004-100 | Amendments to the Rule 9600 Series; Filed for Immediate Effectiveness |
| SR-NASD-2002-004 | Amendments to the Taping Rule |
| SR-NASD-2002-046 | Amendments to Trade Reporting and Compliance Engine Rules (TRACE Rules) |
| SR-NASD-2002-024 | Anti-Money Laundering Compliance Programs |
| SR-NASD-2000-038 | Application of Rules of the Association and Interpretive Materials thereunder to Certain Exempted Securities |
| SR-NASD-1999-041 | Approval Procedures for Day-Trading Accounts |
| SR-NASD-1998-064 | Arbitrator List Selection Method for Intra-Industry Disputes |
| SR-NASD-2004-122 | Arbitrator Web Literacy |
| SR-NASD-2003-092 | Borrowing from or Lending to Customers |
| SR-NASD-2002-108 | Business Continuity Plans and Emergency Contact Information |
| SR-NASD-1998-076 | Change of Effective Date for SR-NASD-98-29-Amendments Relating to Standards for Individual Correspondence |
| SR-NASD-1998-004 | Change to Policy on Accepting Claims for Arbitration Involving Exempted Securities |
| SR-NASD-1999-046 | Chief Compliance Officer Registration |
| SR-NASD-2003-176 | Chief Executive Officer and Chief Compliance Officer Certification Proposal |