Rule Filings
View the Rule Filing Status Report.
| Rule Filing Number |
Title |
|---|---|
| SR-NASD-2002-167 | Amendments to NASD Rule 7010(k) Relating to Fees for the Trade Reporting and Compliance Engine (TRACE) |
| SR-NASD-2003-136 | Amendments to NASD Rules 1013 and 1140 |
| SR-NASD-2006-091 | Amendments to NASD Rules to Align Them with Regulation NMS and to Allow for Quoting, Trade Reporting and Clearing Through the Alternative Display Facility for all NMS Stock. |
| SR-NASD-2004-025 | Amendments to NASD's Minor Rule Violation Plan |
| SR-NASD-2004-121 | Amendments to NASD's Minor Rule Violation Plan |
| SR-NASD-2004-110 | Amendments to NASD, NASD Regulation, and NASD Dispute Resolution By-Laws Relating to Divestiture of American Stock Exchange |
| SR-NASD-1998-038 | Amendments to OATS Rules |
| SR-NASD-2000-036 | Amendments to Options Rules |
| SR-NASD-2000-023 | Amendments to Order Audit Trail System Rules |
| SR-NASD-2004-023 | Amendments to Order Audit Trail System Rules Relating to Execution Reports |
| SR-NASD-2003-106 | Amendments to 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; Immediate Effectiveness Requested |
| SR-NASD-2003-193 | Amendments to Reduce Fee for Regulatory Element of Continuing Education Program |
| SR-NASD-2004-115 | Amendments to Reduce the Fee for the Regulatory Element of Continuing Education Program |
| SR-NASD-2003-095 | Amendments to Rule 10308 and 10312 of the NASD Code of Arbitration Procedure Governing Arbitrator Classification |
| SR-NASD-1999-063 | Amendments to Rule 2260 Governing Giving of Proxies by Members Absent Written Instructions from Beneficial Owners |
| SR-NASD-2002-011 | Amendments to Rule 2260 to Require Broker-Dealers to Forward Communications Regarding Debt Securities to Beneficial Owners |
| SR-NASD-2000-020 | Amendments to Rule 2320(g) and Rule 3110(b) |
| SR-NASD-2004-130 | Amendments to Rule 2320(g) and Rule 3110(b)(2) Relating to Foreign Securities |
| SR-NASD-2001-070 | Amendments to Rule 2320(g) and Rule 3110(b)(2) Relating to Foreign Securities and Institutional Orders |
| SR-NASD-2004-171 | Amendments to Rule 2340 (Customer Account Statements) |
| SR-NASD-1999-005 | Amendments to Rule 2520 (Margin Rules) Relating to Margin for Exempted Borrowers, Good Faith Accounts, Joint Back Office Arrangements and Options Transactions |
| SR-NASD-1998-023 | Amendments to Rule 2860, Options Position Limits |
| SR-NASD-1998-074 | Amendments to Rule 3110(f) Governing Predispute Arbitration Agreements With Customers |
| SR-NASD-2000-034 | Amendments to Rules 10308 and 10312 Concerning the Authority of the Director of Arbitration to Remove Arbitrators for Cause |
| SR-NASD-2006-045 | Amendments to Rules 2520 and 2522 to Recognize Additional Complex Option Spread Strategies and Amend Provisions for Permitted Offsets |