Rule Filings

Rule Filing Number Titlesort descending
SR-NASD-1998-051 Microcap Initiative - Amendments to NASD Rules 6530 and 6540
SR-NASD-1999-004 Microcap Initiative - Proposed Recommendation Rule
SR-NASD-2006-003 NASD is Filing Notice to Members 06-03, Which Provides Guidance Regarding the Application of New Rule 2111 Prohibiting Members from Trading Ahead of Customer Market Orders Under Certain Circumstances
SR-NASD-2003-131 National Do-Not-Call Registry
SR-NASD-2001-090 Notice of Proposed Rule Change Relating to NASDAQ Separation from the NASD and the Establishment of the NASD Alternative Display Facility
SR-NASD-2000-001 Notice to Members on Extended Hours Trading
SR-NASD-2001-020 Notice to Members on the Suitability Rule and Online Communications
SR-NASD-2003-151 Online Arbitration Case Filing Pilot Program
SR-NASD-2004-016 Online Arbitration Claim Filing Pilot Program
SR-NASD-2004-153 Options Position Limits - Exemption for OTC Derivatives Dealers
SR-NASD-1998-078 Options Position Limits Hedge Exemption Pilot Program
SR-NASD-2003-157 Permanent Approval of Fees for the Trade Reporting and Compliance Engine (TRACE)
SR-NASD-2002-126 Pilot Amendment to IM-10100 Arbitration Code Procedure to Require Industry Parties in Arbitration to Waive Application of Contested California Arbitrator Disclosure Standards
SR-NASD-2004-095 Policy to Conduct Fingerprint-based Background Checks of NASD Employees and Independent Contractors
SR-NASD-2002-069 Posting of Margin Disclosure and Day-Trading Risk Disclosure Statements on Web Sites
SR-NASD-2007-012 Proposal Relating to Implementation of Certain Approved NASD Rule Changes Upon the Operation of the Nasdaq Stock Market LLC for Non-Nasdaq Exchange-Listed Securities
SR-NASD-2006-135 Proposal Relating to Implementation of Certain Approved Rule Changes Reflecting the Complete Separation of Nasdaq from NASD
SR-NASD-2006-044 Proposal to Adopt New IM-3060 to Require Members to Adopt Written Policies and Procedures Concerning Business Entertainment
SR-NASD-2006-064 Proposal to Adopt New NASD Rule 3160 Relating to Extension of Time Requests
SR-NASD-2006-060 Proposal to Adopt Rule 3170 Regarding Electronic Filing of All Regulatory Notices or Documents as Specified by NASD
Proposal to Amend FINRA Rules 12214 and 13214 to Provide That FINRA Will Pay Each Arbitrator a $200 Honorarium to Decide Without a Hearing Session a Contested Subpoena Request or a Contested Order for Production or Appearance - Updated
SR-NASD-2006-066 Proposal to Amend Rule 2340 to Relieve Members from the Requirement to Send Quarterly Account Statements to Customer Accounts that are Carried on a DVP/RVP Basis
SR-NASD-2004-084 Proposal to Amend Rule 2860-Options Rules
SR-FINRA-2009-026 Proposal to Amend Various Rules of the Customer Code and Industry Code to Correct Typographical Errors and Implement Other Non-Substantive Technical Changes
SR-NASD-2003-122 Proposal to Conduct Background Verification and Charge Application Fee for NASD Neutral Roster Applicants