Rule Filings

Rule Filing Number Titlesort ascending
SR-NASD-2003-163 Voluntary Direct Communication Between Parties and Arbitrators
SR-NASD-2003-110 Uniform Hearing Procedures for and Consolidation of Rules Applicable to Expedited Proceedings
SR-NASD-1998-092 Tripling Position Limits for Standardized Equity Options
SR-NASD-2004-136 Treatment of Commodity Pool Trail Commissions under Rule 2810
SR-NASD-2004-108 Treatment of Commodity Pool Trail Commissions under Rule 2810
SR-NASD-2000-058 Transactions Involving Association and American Stock Exchange Employees
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-2002-161 To Establish Effective Dates For NASD Rule 2711, Research Analysts and Reports
SR-NASD-2002-087 To Establish Effective Dates For NASD Rule 2711, Research Analysts and Reports
SR-NASD-2003-079 To Establish Effective Dates For NASD Rule 2711, Research Analysts and Reports
SR-NASD-2001-091 To Establish Effective Date of Debt Securities Reporting and Dissemination Rules (Rule 6200 Series)
SR-NASD-2004-003 To Establish Effective Date for Recently Amended Provisions of NASD Rule 2711(h)(2)
SR-NASD-2004-031 To Establish Effective Date for NASD Rule 3370, Affirmative Determination Requirements
SR-NASD-2004-010 To Establish Effective Date for NASD Rule 1050, Registration of Research Analysts
SR-NASD-2004-093 To Establish a Revised Effective Date For Amendments to Order Audit Trail System Rules Relating to Execution Reports
SR-NASD-2003-107 To Delay Implementation Date of Amendments to Article VIII (District Committees and District Nominating Committees) of the By-Laws of NASD Regulation, Inc.
SR-NASD-2003-164 Three-Day Adjournment Rule
SR-NASD-2006-136 The Proposed Rule Change Removes Unnecessary Cross References and Corrects a Grammatical Error in Rule 10308(a)(5)(B)
SR-NASD-2006-109 The Proposed Rule Change Amends the Proposed Code of Arbitration Procedure for Customer Disputes and the Proposed Code of Arbitration Procedure for Industry Disputes and the NASD Code of Arbitration Procedure to Address Representation of Parties in Arbitration and Mediation.
SR-NASD-2007-022 The Proposed Rule Change Amends the NASD Code of Mediation Procedure. The Proposal is Concerned Solely with the Administration of NASD in That it Renumbers the Rules, Updates Cross References, and Reinserts Rule Language That had Been Reserved
SR-FINRA-2010-050 The Proposed Rule Change Amends the Codes of Arbitration Procedure to Update the Rules Relating to Online Filing of Arbitration Claims
SR-FINRA-2007-021 The Proposal is Amending Rules 12206 and 12504 of the Customer Code and Rules 13206 and 13504 of the Industry Code to Address Motions to Dismiss and to Amend the Provision of the Eligibility Rule Related to Dismissals
SR-NASD-2007-021 The Proposal Amends the Definition of Public Arbitrator under the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Add an Annual Revenue Limitation
SR-NASD-2007-038 The Proposal Amends the Arbitration Codes to Clarify That, for Purposes of the Codes, the Term Member Includes any Broker or Dealer Admitted to Membership in a Self-Regulatory Organization That, with NASD Consent, has Required its Members to Arbitrate Pursuant to the Codes and/or be Treated as Members of NASD for Purposes of the Codes
SR-NASD-2007-027 Temporary Program to Allow Member Firms to Voluntarily Submit Accumulated Funds to NASD

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