Rule Filings

Rule Filing Numbersort ascending Title
SR-NASD-1999-015 Suspension of NAC Call for Review of Membership Decisions
SR-NASD-1999-008 Amendments to Code of Arbitration Procedure Relating to the Arbitration Process for Claims of Employment Discrimination
SR-NASD-1999-007 Development of a Discovery Guide
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-1999-004 Microcap Initiative - Proposed Recommendation Rule
SR-NASD-1999-002 SEC Rule 504 Offerings
SR-NASD-1999-001 Simplification of Corporate Financing Filing Fees
SR-NASD-1998-097 Extension of Effectiveness of Pilot Injunctive Relief Rule
SR-NASD-1998-096 Amendments to Forms U-4 and U-5
SR-NASD-1998-092 Tripling Position Limits for Standardized Equity Options
SR-NASD-1998-091 Amendment to Time Period for Filing Information Requests in Arbitration
SR-NASD-1998-090 Proposed Amendments to the Code of Procedure to Provide for the Office of Disciplinary Affairs of NASD Regulation, Inc. to Authorize All Enforcement Actions
SR-NASD-1998-087 Amendment to Corporate Financing Filing Fees
SR-NASD-1998-086 Corrections to By-Law Cross-References
SR-NASD-1998-082 Fee Rate Change Relative to the Review of Advertising
SR-NASD-1998-081 Proposed Exception From the Corporate Financing Rule for Offerings by Charitable Organizations
SR-NASD-1998-080 Establishing Procedures to Enable NASD Regulation to Issue Temporary Cease and Desist Orders
SR-NASD-1998-078 Options Position Limits Hedge Exemption Pilot Program
SR-NASD-1998-076 Change of Effective Date for SR-NASD-98-29-Amendments Relating to Standards for Individual Correspondence
SR-NASD-1998-075 Rule Requiring Certain NASD Members to Conduct or to Participate in Year 2000 Testing
SR-NASD-1998-074 Amendments to Rule 3110(f) Governing Predispute Arbitration Agreements With Customers
SR-NASD-1998-069 Amendment to Interpretive Material Regarding Mutual Fund Breakpoint Sales
SR-NASD-1998-064 Arbitrator List Selection Method for Intra-Industry Disputes
SR-NASD-1998-058 Proposed Change to NASD Rules to Eliminate the Requirement for Personal Service of Decisions in Cases Involving Bars and Expulsions
SR-NASD-1998-057 Proposed Change to NASD Membership and Registration, Investigation and Sanctions, Conduct and Code of Procedure Rules