Rule Filings

Rule Filing Numbersort ascending Title
SR-NASD-2004-003 To Establish Effective Date for Recently Amended Provisions of NASD Rule 2711(h)(2)
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-2004-001 Proposal to Increase the Fee for Panel Member Training
SR-NASD-2003-201 Amendments to Schedule A of the NASD By-Laws to Adjust the Trading Activity Fee Rate and Add TRACE-Eligible and Municipal Securities as Covered Securities
SR-NASD-2003-200 Technical Amendment to Rule 2130
SR-NASD-2003-197 To Further Delay Implementation Date of Amendments to Article VIII (District Committees and District Nominating Committees) of the By-Laws of NASD Regulation, Inc.
SR-NASD-2003-194 Proposed Rule Change to Section 5 of Schedule A to the NASD By-Laws
SR-NASD-2003-193 Amendments to Reduce Fee for Regulatory Element of Continuing Education Program
SR-NASD-2003-192 Proposed Rule Change to Section 4 of Schedule A to the NASD By-Laws
SR-NASD-2003-190 Interpretations in a Forthcoming Notice to Members Describing Rule 2790
SR-NASD-2003-186 Administration of Qualification Examinations on Security Futures
SR-NASD-2003-184 Review and Update of Member Executive Representative Designation and Contact Information
SR-NASD-2003-183 Proposed Amendments to Rule 1120 Regarding Regulatory Element Contact Person
SR-NASD-2003-182 Proposed Amendments to "TRACE-Eligible Security" and an Exemption to Trade Reporting
SR-NASD-2003-181 Proposed Rule Change To Expressly State NASD's Authority to Suspend Quotations of ADF Market Participants
SR-NASD-2003-177 Technical Amendments to Interpretative Material 3130 (IM-3130)
SR-NASD-2003-176 Chief Executive Officer and Chief Compliance Officer Certification Proposal
SR-NASD-2003-175 Proposed Amendments to Repeal Rule 4613A(e)(1) Requiring Same-Priced Quotations on Multiple Markets
SR-NASD-2003-168 Release of Information Through the Public Disclosure Program
SR-NASD-2003-166 Amendments to Schedule B to the NASD By-Laws
SR-NASD-2003-164 Three-Day Adjournment Rule
SR-NASD-2003-163 Voluntary Direct Communication Between Parties and Arbitrators
SR-NASD-2003-158 Reorganization and Revision of NASD Rules Relating to Customer Disputes
SR-NASD-2003-157 Permanent Approval of Fees for the Trade Reporting and Compliance Engine (TRACE)
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

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