Rule Filings

Rule Filing Number Titlesort ascending
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-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-2003-136 Amendments to NASD Rules 1013 and 1140
SR-NASD-2002-167 Amendments to NASD Rule 7010(k) Relating to Fees for the Trade Reporting and Compliance Engine (TRACE)
SR-NASD-2001-085 Amendments to NASD Rule 3370, Affirmative Determination Requirements
SR-NASD-2004-141 Amendments to NASD Rule 2711 to Prohibit Participation by Research Analysts in Road Shows
SR-NASD-2003-036 Amendments to NASD Rule 2340
SR-NASD-2001-074 Amendments to NASD Regulation, Inc. By-Laws
SR-NASD-2001-057 Amendments to NASD Regulation, Inc. By-Laws
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-1998-036 Amendments to NASD Regulation By-Laws Relating to At-Large Industry Members of the National Adjudicatory Council
SR-NASD-2001-021 Amendments to NASD Code of Arbitration Procedure to Modify Certain Provisions Relating to the Assessment and Payment of Fees
SR-NASD-2000-002 Amendments to NASD Code of Arbitration Procedure Rules 10335 and 10205(h) Relating to Injunctive Relief
SR-NASD-1999-067 Amendments to Member Admission Rules
SR-NASD-1999-045 Amendments to Interpretation Governing Public Disclosure Program
SR-NASD-1999-019 Amendments to IM-10100 to Facilitate Use of Non-SRO Arbitration Forums
SR-NASD-1998-096 Amendments to Forms U-4 and U-5
SR-NASD-1999-008 Amendments to Code of Arbitration Procedure Relating to the Arbitration Process for Claims of Employment Discrimination
SR-NASD-2004-002 Amendments to Alternative Display Facility Rules to Require Advance Written Notice of Denial of Direct or Indirect Electronic Access
SR-NASD-2006-074 Amendments Relating to the Issuer-Directed Securities Exemption in NASD Rule 2790
SR-NASD-1998-091 Amendment to Time Period for Filing Information Requests in Arbitration
SR-NASD-2003-147 Amendment to the Delegation Plan to Remove NASDAQ Representation of NASD under the UTP Plan
SR-NASD-2006-063 Amendment to Section 8 of Schedule A to NASD By-Laws to Increase the Service Charge for Processing Extension of Time Requests
SR-NASD-2000-039 Amendment to Schedule A of the NASD By-Laws for the Timely Filing of Reports, and Amendments to IM-9216, Minor Rule Violation Plan

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