Rule Filings

Rule Filing Number Titlesort ascending
SR-NASD-2003-194 Proposed Rule Change to Section 5 of Schedule A to the NASD By-Laws
SR-NASD-2003-192 Proposed Rule Change to Section 4 of Schedule A to the NASD By-Laws
SR-NASD-2002-100 Proposed Rule Change to Section 4 of Schedule A to the NASD By-Laws
SR-NASD-2003-109 Proposed Rule Change to Section 4 of Schedule A to the NASD By-Laws
SR-NASD-2005-067 Proposed Rule Change to Rules 6530 and 7010 to Clarify the Availability of a Process to Review Eligibility Determinations Under Rule 6530 and to Adopt Service Based Fees for Issuers Quoted on the OTC Bulletin Board ("OTCBB")
SR-NASD-1998-034 Proposed Rule Change to Rule 9514
SR-NASD-2005-011 Proposed Rule Change to Rule 6530 to Limit the Eligibility for Quotation on the OTCBB
SR-NASD-1998-020 Proposed Rule Change to Rule 11860 to Permit Members to Use the Facilities of a Qualified Electronic Vendor for Electronic Confirmation and Affirmation of Depository Eligible Transactions
SR-NASD-1998-003 Proposed Rule Change to Rule 1120
SR-NASD-1997-077 Proposed Rule Change to Rule 10201 Regarding Arbitration of Employment Discrimination Claims
SR-NASD-2003-057 Proposed Rule Change to Revise Uniform Application for Securities Industry Registration or Transfer (Form U-4) and Uniform Termination Notice for Securities Industry Registration (Form U-5)
SR-NASD-2002-005 Proposed Rule Change to Revise Uniform Application for Securities Industry Registration or Transfer (Form U-4) and Uniform Termination Notice for Securities Industry Registration (Form U-5)
SR-FINRA-2011-045 Proposed Rule Change to Revise the Series 7 Examination Program
SR-FINRA-2013-045 Proposed Rule Change to Revise the Series 6 Examination Program
SR-FINRA-2013-028 Proposed Rule Change to Revise the Series 55 Examination Program
SR-FINRA-2015-018 Proposed Rule Change to Revise the Series 4 Examination Program
SR-FINRA-2011-048 Proposed Rule Change to Revise the Series 38 Examination Program
SR-FINRA-2011-047 Proposed Rule Change to Revise the Series 37 Examination Program
SR-FINRA-2014-015 Proposed Rule Change to Revise the Series 26 Examination Program
SR-FINRA-2014-035 Proposed Rule Change to Revise the Series 24 Examination Program
SR-FINRA-2014-034 Proposed Rule Change to Revise the Series 23 Examination Program
SR-FINRA-2011-046 Proposed Rule Change to Revise the Series 17 Examination Program
SR-FINRA-2013-032 Proposed Rule Change to Revise the Series 16 Examination Program
SR-FINRA-2018-010 Proposed Rule Change to Revise the Securities Trader (Series 57) Examination
SR-FINRA-2018-005 Proposed Rule Change to Revise the Research Analyst (Series 86 and 87) Examinations

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