Rule Filings

Rule Filing Numbersort ascending Title
SR-NASD-2003-091 Series 23 Examination Program
SR-NASD-2003-079 To Establish Effective Dates For NASD Rule 2711, Research Analysts and Reports
SR-NASD-2003-078 Proposed Amendment to Rule 6230 to Reduce Reporting Period
SR-NASD-2003-075 Proposed Amendments Regarding Requests for Underwriting Activity Reports
SR-NASD-2003-074 Proposed Rule Change Regarding Regulation of Activities of Members Experiencing Financial and/or Operational Difficulties
SR-NASD-2003-073 Revisions to NASD By-Laws Extending Existing Pilot Program for the Regulatory Fee and the Trading Activity Fee
SR-NASD-2003-069 Proposed Rule Change Regarding Failure to Pay Arbitration Awards
SR-NASD-2003-068 Amendments to the Non-Cash Compensation Provisions of NASD Rule 2710 (Corporate Financing) and Rule 2810 (Direct Participation Programs)
SR-NASD-2003-067 Proposed Rule Change to Extend Operation of NASD's Alternative Display Facility as a Temporary Pilot
SR-NASD-2003-065 Revisions to NASD By-Laws Extending Existing Pilot Program for the Regulatory Fee and the Trading Activity Fee
SR-NASD-2003-064 Extension of Pilot Rule in IM-10100(f) and (g) of the Code of Arbitration Procedure to Require Industry Parties in Arbitration to Waive Application of Contested California Arbitrator Disclosure Standards, upon the Request of Customers or Associated Persons with Claims of Statutory Employment Discrimination
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-2003-055 Proposed Amendments to Article VIII (District Committees and District Nominating Committees) of the By-Laws of NASD Regulation, Inc.
SR-NASD-2003-045 Margin Rule for Security Futures Contracts
SR-NASD-2003-041 Proposal to Disseminate Up to Thirty Additional Corporate Bonds Under Trade Reporting and Compliance Engine Rules ("TRACE Rules")
SR-NASD-2003-036 Amendments to NASD Rule 2340
SR-NASD-2003-031 Margin Rule for Security Futures Contracts
SR-NASD-2003-026 Revisions to NASD By-Laws Extending Existing Pilot Program for the Regulatory Fee and the Trading Activity Fee
SR-NASD-2003-025 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-2003-024 Proposed Amendments to the NASD Registration Rules
SR-NASD-2003-019 Proposed Rule Change to NASD Interpretive Material 2260 (IM-2260)
SR-NASD-2003-018 Proposed Rule Change to Section 9 of Schedule A to the NASD By-Laws
SR-NASD-2003-013 Proposed Interpretive Material Regarding the Use of Investment Analysis Tools
SR-NASD-2003-009 Fees Relating to the NASD Alternative Display Facility
SR-NASD-2003-007 Proposed Amendments to Membership Application Rules

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