Rule Filings

Rule Filing Number Titlesort descending
SR-NASD-2006-088 A Proposed Rule Change to Adopt Rule 12504 of the Proposed Code of Arbitration Procedure for Customer Disputes ("Customer Code") and Rule 13504 of the Proposed Code of Arbitration Procedure for Industry Disputes ("Industry Code") to Address Motions to Decide Claims Before a Hearing on the Merits.
SR-NASD-2007-034 A Proposed Rule Change to Create New NASD Rule 1160 (Contact Information Requirements) to Require Members to Verify Required Contact Information, As Well As Update Promptly, and Comply Promptly with any Request For, Such Information
SR-NASD-2007-015 A Proposed Rule Change to NASD Rules 1012 and 1013 to Require Applicants for Membership to Apply for Membership in the Manner NASD Prescribes
SR-NASD-2003-141 Additional Mark-Up Policy for Transactions in Debt Securities
SR-NASD-2003-186 Administration of Qualification Examinations on Security Futures
SR-NASD-2001-095 Adoption of Interpretive Material Regarding Interfering with the Transfer of Customer Accounts
SR-NASD-2002-062 Amending Code of Arbitration Procedure to Conform Rule 10314(b) to the Current Minimum Standard Applicable to Claims
SR-NASD-1999-035 Amendment To Associated Person Definition
SR-NASD-2001-006 Amendment to Composition of NASD Board
SR-NASD-1998-087 Amendment to Corporate Financing Filing Fees
SR-NASD-2002-074 Amendment to Correct Research Analyst Rule Language
SR-NASD-2000-070 Amendment to Effective Date of Phase Three of Order Audit Trail System Rules
SR-NASD-2000-009 Amendment to Effective Date of Phase Three of Order Audit Trail System Rules
SR-NASD-2000-053 Amendment to Effective Date of Phase Three of Order Audit Trail System Rules
SR-NASD-2001-049 Amendment to Expiration Date of Rules Relating to Bond Mutual Fund Volatility Ratings
SR-NASD-1998-069 Amendment to Interpretive Material Regarding Mutual Fund Breakpoint Sales
SR-NASD-1999-028 Amendment to Make Electronic Filing Requirement Effective
SR-NASD-2001-062 Amendment to NASD Code of Arbitration Procedure Rule 10333 Relating to Member Surcharges, and Hearing and Prehearing Process Fees; Immediate Effectiveness Requested; and Notice of Withdrawal of SR-NASD-2001-52
SR-NASD-2004-078 Amendment to NASD Rule 1022 to Establish Qualification Requirements for Supervisors of Research Analysts
SR-NASD-2004-020 Amendment to NASD Rule 1050 Related to Registration and Qualification of Research Analysts
SR-NASD-2000-033 Amendment to NASD Rule 3340 to Prohibit Publication of Quotations in a Security
SR-NASD-2002-171 Amendment to NASD's Minor Rule Violation Plan
SR-NASD-2003-148 Amendment to NASD's Minor Rule Violation Plan and Late Fee Provision
SR-NASD-2003-153 Amendment to Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Regarding Waiver of California Arbitrator Disclosure Standards; Immediate Effectiveness Requested
SR-NASD-2002-003 Amendment to Relieve Registered Representatives Serving in Armed Forces from Continuing Education Requirements

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