Rule Filings

Rule Filing Numbersort ascending Title
SR-NASD-2000-009 Amendment to Effective Date of Phase Three of Order Audit Trail System Rules
SR-NASD-2000-008 Margin Rule Amendments Relating to Non-Equity Securities and Exempt Accounts
SR-NASD-2000-005 Release of Disciplinary Information
SR-NASD-2000-004 Amendments to the Corporate Financing Rule
SR-NASD-2000-003 Margin Requirements for Day-Trading Customers
SR-NASD-2000-002 Amendments to NASD Code of Arbitration Procedure Rules 10335 and 10205(h) Relating to Injunctive Relief
SR-NASD-2000-001 Notice to Members on Extended Hours Trading
SR-NASD-1999-076 Amendments to the Code of Procedure and Other Provisions
SR-NASD-1999-074 Exemption from the Corporate Financing Rule for Interval Funds
SR-NASD-1999-072 Extension of Effectiveness of Pilot Injunctive Relief Rule
SR-NASD-1999-067 Amendments to Member Admission Rules
SR-NASD-1999-065 Creation of Corporate Bond Trade Reporting Facility
SR-NASD-1999-063 Amendments to Rule 2260 Governing Giving of Proxies by Members Absent Written Instructions from Beneficial Owners
SR-NASD-1999-060 Proposed Rule 2790, Trading in Hot Equity Offerings
SR-NASD-1999-054 Implementation of Single Arbitrator Pilot Program
SR-NASD-1999-050 Removal of Address from Forms U-4 and U-5
SR-NASD-1999-046 Chief Compliance Officer Registration
SR-NASD-1999-045 Amendments to Interpretation Governing Public Disclosure Program
SR-NASD-1999-042 Proposed Rule Change Relating to Performance Fee Arrangements
SR-NASD-1999-041 Approval Procedures for Day-Trading Accounts
SR-NASD-1999-037 Hard to Borrow List
SR-NASD-1999-036 Amendments to NASD Regulation By-Laws Relating to the Election of Chairs and Vice Chairs of the National Adjudicatory Council.
SR-NASD-1999-035 Amendment To Associated Person Definition
SR-NASD-1999-028 Amendment to Make Electronic Filing Requirement Effective
SR-NASD-1999-027 Extension of Effectiveness of Pilot Injunctive Relief Rule