Rule Filings

Rule Filing Numbersort ascending Title
SR-NASD-1998-052 Review of Incoming, Non-electronic Correspondence with the Public
SR-NASD-1998-051 Microcap Initiative - Amendments to NASD Rules 6530 and 6540
SR-NASD-1998-048 Proposed Rule Change to Amend the Method of Selecting Arbitrators in Customer Disputes
SR-NASD-1998-046 Technical Corrections to Delegation Plan and IM-1000-4
SR-NASD-1998-045 Supervision of Correspondence
SR-NASD-1998-043 Extension of Application Deadline Series 55 Examination, Equity Trader
SR-NASD-1998-042 Extension of Effectiveness of Pilot Injunctive Relief Rule
SR-NASD-1998-038 Amendments to OATS Rules
SR-NASD-1998-036 Amendments to NASD Regulation By-Laws Relating to At-Large Industry Members of the National Adjudicatory Council
SR-NASD-1998-035 Proposed Rule Relating to Books and Records
SR-NASD-1998-034 Proposed Rule Change to Rule 9514
SR-NASD-1998-033 Exemption From Fidelity Bonding Requirement
SR-NASD-1998-032 Proposed Rule Excluding Research Reports from Filing Requirements
SR-NASD-1998-031 Supervision of Correspondence
SR-NASD-1998-029 Proposed Rule Relating to Standards for Individual Correspondence
SR-NASD-1998-028 Proposed Rule Relating to Research Reports Approved by NYSE Supervisory Analysts
SR-NASD-1998-023 Amendments to Rule 2860, Options Position Limits
SR-NASD-1998-020 Proposed Rule Change to Rule 11860 to Permit Members to Use the Facilities of a Qualified Electronic Vendor for Electronic Confirmation and Affirmation of Depository Eligible Transactions
SR-NASD-1998-019 Interim Forms and Public Disclosure Program
SR-NASD-1998-018 Qualified Immunity in Arbitration Proceedings for Statements Made on Forms U-4 and U-5
SR-NASD-1998-015 Amendment to Rule 2860(b) Concerning Position and Exercise Limits for FLEX Equity Options
SR-NASD-1998-014 Proposed Rule Relating to Sales Charges and Prospectus Disclosure for Mutual Funds and Variable Contracts
SR-NASD-1998-013 Proposed Rule Change to Clarify That Members of the National Adjudicatory Council May Serve as Panelists in the Appeal or Review of Disciplinary Proceedings
SR-NASD-1998-011 Proposed Rule Relating to the Presentation of Mutual Fund and Variable Contract Related Performance Information
SR-NASD-1998-010 Supervision of Correspondence

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