Rule Filings

Rule Filing Number Titlesort descending
SR-NASD-1998-057 Proposed Change to NASD Membership and Registration, Investigation and Sanctions, Conduct and Code of Procedure Rules
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-1998-081 Proposed Exception From the Corporate Financing Rule for Offerings by Charitable Organizations
SR-NASD-2004-112 Proposed Extension of the Pilot Relating to Manning Price-Improvement Standards for Decimals
SR-NASD-2002-063 Proposed Fees for the Trade Reporting and Compliance Engine ("TRACE") for Corporate Bonds
SR-NASD-2004-042 Proposed Foreign Hearing Location Rule
SR-NASD-2005-030 Proposed Form BR (Uniform Branch Office form) Conforming Changes and Technical Revisions to the Form U4 and Form U5
SR-NASD-2003-013 Proposed Interpretive Material Regarding the Use of Investment Analysis Tools
SR-NASD-2005-100 Proposed New Rule 2231 Regarding Transaction-Specific Disclosures for Customers in Debt Securities Transactions
SR-NASD-2004-183 Proposed New Rule 2821 Regarding Transactions in Deferred Variable Annuities
SR-NASD-2003-104 Proposed New Uniform Definition of "Branch Office" under NASD Rule 3010(g)(2)
SR-NASD-2002-110 Proposed Registration Category for Proctors of In-Firm Delivery of the Regulatory Element
SR-NASD-2005-014 Proposed Revisions to the Series 11 Examination Program
SR-NASD-2005-109 Proposed Revisions to the Series 4 Examination Program
SR-NASD-2005-015 Proposed Revisions to the Series 55 Examination Program
SR-NASD-2005-110 Proposed Revisions to the Series 6 Examination Program
SR-NASD-2005-111 Proposed Revisions to the Series 9/10 Examination Program
SR-NASD-2002-168 Proposed Rule 2130 Governing Expungement of Customer Dispute Information From the Central Registration Depository (CRD System)
SR-NASD-2005-005 Proposed Rule 2342 Requiring Members to Provide Customers with SIPC's Web Site and Telephone Number
SR-NASD-2006-124 Proposed Rule 2342 Requiring Members to Provide Customers with SIPC's Web site and Telephone Number.
SR-NASD-1999-060 Proposed Rule 2790, Trading in Hot Equity Offerings
SR-NASD-2005-023 Proposed Rule Change Amends Rule 10316 and Adopts Rule 10408 of the NASD Code of Arbitration Procedure to Address Attorney Representation in Arbitration and Mediation
SR-NASD-2002-176 Proposed Rule Change and Renewal on Pilot Basis of NASD Rule 7010(k) Relating to Fees for the Trade Reporting and Compliance Engine (TRACE)
SR-NASD-2004-137 Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Amendments to the OATS Rules to Require that ECNs Capture Routed Order Identifier Information
SR-FINRA-2013-008 Proposed Rule Change Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities

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