Rule Filings

Rule Filing Numbersort ascending Title
SR-NASD-2004-042 Proposed Foreign Hearing Location Rule
SR-NASD-2004-040 Extension of 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-2004-039 Reducing the Time for Chairperson Selection
SR-NASD-2004-031 To Establish Effective Date for NASD Rule 3370, Affirmative Determination Requirements
SR-NASD-2004-027 Proposed Amendment to Rule Relating to Execution of Investment Company Portfolio Transactions
SR-NASD-2004-026 Proposed Amendments to Rule 2320(a), NASD's Best Execution Rule
SR-NASD-2004-025 Amendments to NASD's Minor Rule Violation Plan
SR-NASD-2004-023 Amendments to Order Audit Trail System Rules Relating to Execution Reports
SR-NASD-2004-022 Shelf Offering Amendments
SR-NASD-2004-020 Amendment to NASD Rule 1050 Related to Registration and Qualification of Research Analysts
SR-NASD-2004-017 Series 86/87 Examination Program
SR-NASD-2004-016 Online Arbitration Claim Filing Pilot Program
SR-NASD-2004-014 Proposed Rule Change to Adopt Interpretative Material 3150 ("IM-3150") to Establish Exemptions from the Reporting Requirements of NASD Rule 3150
SR-NASD-2004-013 Reorganization and Revision of NASD Mediation Rules
SR-NASD-2004-012 Proposed Rule Change to Extend Operation of NASD's Alternative Display Facility as a Temporary Pilot
SR-NASD-2004-011 Reorganization and Revision of NASD Arbitration Rules Relating to Industry Disputes
SR-NASD-2004-010 To Establish Effective Date for NASD Rule 1050, Registration of Research Analysts
SR-NASD-2004-005 Proposed Rule Change to Amend NASD Rule 2370
SR-NASD-2004-003 To Establish Effective Date for Recently Amended Provisions of NASD Rule 2711(h)(2)
SR-NASD-2004-002 Amendments to Alternative Display Facility Rules to Require Advance Written Notice of Denial of Direct or Indirect Electronic Access
SR-NASD-2004-001 Proposal to Increase the Fee for Panel Member Training
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-2003-200 Technical Amendment to Rule 2130
SR-NASD-2003-197 To Further Delay Implementation Date of Amendments to Article VIII (District Committees and District Nominating Committees) of the By-Laws of NASD Regulation, Inc.
SR-NASD-2003-194 Proposed Rule Change to Section 5 of Schedule A to the NASD By-Laws