Rule Filings
View the Rule Filing Status Report.
Rule Filing Number |
Title |
|---|---|
| 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 |
| SR-NASD-2002-145 | Proposed Rule Change to NASD Interpretive Material 2260 (IM-2260) |
| SR-NASD-2002-134 | Proposed Rule Change to Option Position and Exercise Limits; NASD Rule 2860 |
| SR-NASD-2002-129 | Security Futures Risk Disclosure Statement |
| SR-NASD-2002-128 | Security Futures Risk Disclosure Statement |
| SR-NASD-2002-126 | Pilot Amendment to IM-10100 Arbitration Code Procedure to Require Industry Parties in Arbitration to Waive Application of Contested California Arbitrator Disclosure Standards |
| SR-NASD-2002-124 | Proposed Amendment to Rule 2260 to Expand the Definition of "Designated Investment Adviser" |
| SR-NASD-2002-112 | Proposed Amendments to Rule 3070 Requiring Members To File Copies Of Criminal and Civil Complaints and Arbitration Claims with NASD |
| SR-NASD-2002-110 | Proposed Registration Category for Proctors of In-Firm Delivery of the Regulatory Element |
| SR-NASD-2002-108 | Business Continuity Plans and Emergency Contact Information |
| SR-NASD-2002-103 | Proposed Rule Change to NASD Interpretive Material 8310-2 (IM-8310-2) |
| SR-NASD-2002-100 | Proposed Rule Change to Section 4 of Schedule A to the NASD By-Laws |