Rule Filings

Rule Filing Number Titlesort ascending
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
SR-NASD-2006-062 Amendment to Rule 6957(c) to Revise the Effective Date for Recent Amendments to NASD's Order Audit Trail System Rules
SR-NASD-1998-015 Amendment to Rule 2860(b) Concerning Position and Exercise Limits for FLEX Equity Options
SR-NASD-1998-007 Amendment to Rule 10314 to Extend the Time to Answer Arbitration Complaints
SR-NASD-2003-101 Amendment to Rule 10304 of the NASD Code of Arbitration Procedure Governing Time Limits for Submission of Claims in Arbitration
SR-NASD-2002-003 Amendment to Relieve Registered Representatives Serving in Armed Forces from Continuing Education Requirements
SR-NASD-2003-153 Amendment to Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Regarding Waiver of California Arbitrator Disclosure Standards; Immediate Effectiveness Requested
SR-NASD-2003-148 Amendment to NASD's Minor Rule Violation Plan and Late Fee Provision
SR-NASD-2002-171 Amendment to NASD's Minor Rule Violation Plan
SR-NASD-2000-033 Amendment to NASD Rule 3340 to Prohibit Publication of Quotations in a Security
SR-NASD-2004-020 Amendment to NASD Rule 1050 Related to Registration and Qualification of Research Analysts
SR-NASD-2004-078 Amendment to NASD Rule 1022 to Establish Qualification Requirements for Supervisors of Research Analysts
SR-NASD-2001-062 Amendment to NASD Code of Arbitration Procedure Rule 10333 Relating to Member Surcharges, and Hearing and Prehearing Process Fees; Immediate Effectiveness Requested; and Notice of Withdrawal of SR-NASD-2001-52
SR-NASD-1999-028 Amendment to Make Electronic Filing Requirement Effective
SR-NASD-1998-069 Amendment to Interpretive Material Regarding Mutual Fund Breakpoint Sales
SR-NASD-2001-049 Amendment to Expiration Date of Rules Relating to Bond Mutual Fund Volatility Ratings
SR-NASD-2000-070 Amendment to Effective Date of Phase Three of Order Audit Trail System Rules