Rule Filings

Rule Filing Number Titlesort ascending
SR-NASD-1998-087 Amendment to Corporate Financing Filing Fees
SR-NASD-2001-006 Amendment to Composition of NASD Board
SR-NASD-1999-035 Amendment To Associated Person Definition
SR-NASD-2002-062 Amending Code of Arbitration Procedure to Conform Rule 10314(b) to the Current Minimum Standard Applicable to Claims
SR-NASD-2001-095 Adoption of Interpretive Material Regarding Interfering with the Transfer of Customer Accounts
SR-NASD-2003-186 Administration of Qualification Examinations on Security Futures
SR-NASD-2003-141 Additional Mark-Up Policy for Transactions in Debt Securities
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-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-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-FINRA-2018-023 Proposed Rule Change to Amend FINRA Rule 6730 Relating to ATS Reporting of Transactions to TRACE in U.S. Treasury Securities