Rule Filings

Rule Filing Numbersort ascending Title
SR-NASD-2003-031 Margin Rule for Security Futures Contracts
SR-NASD-2003-026 Revisions to NASD By-Laws Extending Existing Pilot Program for the Regulatory Fee and the Trading Activity Fee
SR-NASD-2003-025 Proposed Temporary Fee Reductions and Extension on Pilot Basis of NASD Rule 7010(k) Relating to Fees for the Trade Reporting and Compliance Engine (TRACE)
SR-NASD-2003-024 Proposed Amendments to the NASD Registration Rules
SR-NASD-2003-019 Proposed Rule Change to NASD Interpretive Material 2260 (IM-2260)
SR-NASD-2003-018 Proposed Rule Change to Section 9 of Schedule A to the NASD By-Laws
SR-NASD-2003-013 Proposed Interpretive Material Regarding the Use of Investment Analysis Tools
SR-NASD-2003-009 Fees Relating to the NASD Alternative Display Facility
SR-NASD-2003-007 Proposed Amendments to Membership Application Rules
SR-NASD-2003-001 Refund of Member Surcharges in Arbitration
SR-NASD-2002-185 Proposed Amendments to the NASD Registration Rules
SR-NASD-2002-182 Revisions to NASD By-Laws Extending Existing Pilot Program for the Regulatory Fee and the Trading Activity Fee
SR-NASD-2002-180 Proposed Rule Change Regarding Prohibition Against Guarantees and Sharing in Customer Accounts
SR-NASD-2002-176 Proposed Rule Change and Renewal on Pilot Basis of NASD Rule 7010(k) Relating to Fees for the Trade Reporting and Compliance Engine (TRACE)
SR-NASD-2002-174 Proposed Amendments to Rule 6200 Series to Increase Dissemination
SR-NASD-2002-171 Amendment to NASD's Minor Rule Violation Plan
SR-NASD-2002-168 Proposed Rule 2130 Governing Expungement of Customer Dispute Information From the Central Registration Depository (CRD System)
SR-NASD-2002-167 Amendments to NASD Rule 7010(k) Relating to Fees for the Trade Reporting and Compliance Engine (TRACE)
SR-NASD-2002-166 Margin Rule Amendments for Security Futures Contracts
SR-NASD-2002-162 Proposed Supervisory Control Amendments
SR-NASD-2002-161 To Establish Effective Dates For NASD Rule 2711, Research Analysts and Reports
SR-NASD-2002-154 Proposed Amendments to Rules Governing Research Analyst Conflicts of Interest
SR-NASD-2002-148 Revisions to By-Laws Regarding the Regulatory Fee and the SEC Section 31 Transaction Fee
SR-NASD-2002-147 Sunsetting Revisions to By-Laws Regarding the Regulatory Fee and the Trading Activity Fee Established in SR-NASD-2002-98
SR-NASD-2002-146 Proposed Amendments to Rule 3011 to Require Members to Identify an Anti-Money Laundering Compliance Person

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