Rule Filings

Rule Filing Number Titlesort ascending
SR-NASD-2001-047 Rules 3115 and 3340 - Audit Trail and Trading Halt Requirements for Security Futures
SR-NASD-1998-075 Rule Requiring Certain NASD Members to Conduct or to Participate in Year 2000 Testing
SR-NASD-2002-021 Rule Regarding Research Analyst Conflicts of Interest
SR-NASD-2006-052 Rule Change to Revise the Effective Date of Certain Amendments to NASD's Order Audit Trail System Rules
SR-NASD-2006-137 Rule Change to Amend NASD Rule 7010 to Modify Pricing for NASD Members Using the ITS CAES System and Inet Facility, Which are Currently Operated by The Nasdaq Stock Market, Inc. and its Subsidiaries as Facilities of NASD
SR-NASD-2002-002 Rule Change to Amend NASD Code of Procedure Rule 9522
SR-NASD-1998-002 Rule 2860, Option Position Limits: Extension of Hedge Exemption Pilot Program
SR-FINRA-2007-033 Revisions to the Series 82 Examination Program
SR-FINRA-2007-032 Revisions to the Series 72 Examination Program
SR-FINRA-2007-031 Revisions to the Series 62 Examination Program
SR-NASD-2006-086 Revisions to the Series 55 Examination Program.
SR-FINRA-2007-030 Revisions to the Series 55 Examination Program
SR-FINRA-2007-029 Revisions to the Series 42 Examination Program
SR-NASD-2005-025 Revisions to the Series 4 Examination Program
SR-NASD-2006-085 Revisions to the Series 39 Examination Program.
SR-NASD-2006-084 Revisions to the Series 28 Examination Program.
SR-NASD-2006-083 Revisions to the Series 27 Examination Program.
SR-FINRA-2007-028 Revisions to the Series 24 Examination Program
SR-FINRA-2007-027 Revisions to the Series 23 Examination Program
SR-NASD-2006-082 Revisions to the Series 22 Examination Program.
SR-NASD-2002-049 Revisions to Series 82 Examination Program
SR-NASD-2002-051 Revisions to Series 55 Examination Program
SR-NASD-2002-050 Revisions to Series 39 Examination Program
SR-NASD-2002-047 Revisions to Series 28 Examination Program
SR-NASD-2002-048 Revisions to Series 27 Examination Program