Rule Filings

Rule Filing Number Titlesort ascending
SR-NASD-2001-023 Revisions to Series 24 and 62 Examination Programs; Immediate Effectiveness Requested
SR-NASD-2002-052 Revisions to Series 22 Examination Program
SR-NASD-2003-026 Revisions to NASD By-Laws Extending Existing Pilot Program for the Regulatory Fee and the Trading Activity Fee
SR-NASD-2003-073 Revisions to NASD By-Laws Extending Existing Pilot Program for the Regulatory Fee and the Trading Activity Fee
SR-NASD-2003-065 Revisions to NASD By-Laws Extending Existing Pilot Program for the Regulatory Fee and the Trading Activity Fee
SR-NASD-2002-182 Revisions to NASD By-Laws Extending Existing Pilot Program for the Regulatory Fee and the Trading Activity Fee
SR-NASD-2002-148 Revisions to By-Laws Regarding the Regulatory Fee and the SEC Section 31 Transaction Fee
SR-NASD-2002-098 Revisions to By-Laws Regarding the Regulatory Fee and the SEC Section 31 Transaction Fee
SR-NASD-2002-099 Revisions to By-Laws Regarding Gross Income Assessments and Personnel Assessments
SR-NASD-1998-052 Review of Incoming, Non-electronic Correspondence with the Public
SR-NASD-2003-184 Review and Update of Member Executive Representative Designation and Contact Information
SR-NASD-2001-019 Reporting Requirements for Clearing Members
SR-NASD-2002-038 Replacement of Arbitrator Under Rule 10313 Upon Disqualification or Other Disability of an Arbitrator
SR-NASD-2003-158 Reorganization and Revision of NASD Rules Relating to Customer Disputes
SR-NASD-2004-013 Reorganization and Revision of NASD Mediation Rules
SR-NASD-2004-011 Reorganization and Revision of NASD Arbitration Rules Relating to Industry Disputes
SR-NASD-1999-050 Removal of Address from Forms U-4 and U-5
SR-NASD-2003-168 Release of Information Through the Public Disclosure Program
SR-NASD-2000-005 Release of Disciplinary Information
SR-NASD-2003-001 Refund of Member Surcharges in Arbitration
SR-NASD-2004-039 Reducing the Time for Chairperson Selection
SR-NASD-2000-042 Recording and Reporting Requirements for Certain Quotation Data
SR-NASD-1998-018 Qualified Immunity in Arbitration Proceedings for Statements Made on Forms U-4 and U-5
SR-NASD-2003-025 Proposed Temporary Fee Reductions and Extension on Pilot Basis of NASD Rule 7010(k) Relating to Fees for the Trade Reporting and Compliance Engine (TRACE)
SR-NASD-2002-162 Proposed Supervisory Control Amendments

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