Rule Filings

Rule Filing Number Titlesort descending
SR-NASD-2002-182 Revisions to NASD By-Laws Extending Existing Pilot Program for the Regulatory Fee and the Trading Activity Fee
SR-NASD-2002-052 Revisions to Series 22 Examination Program
SR-NASD-2001-023 Revisions to Series 24 and 62 Examination Programs; Immediate Effectiveness Requested
SR-NASD-2001-022 Revisions to Series 26 Examination Program; Immediate Effectiveness Requested
SR-NASD-2002-048 Revisions to Series 27 Examination Program
SR-NASD-2002-047 Revisions to Series 28 Examination Program
SR-NASD-2002-050 Revisions to Series 39 Examination Program
SR-NASD-2002-051 Revisions to Series 55 Examination Program
SR-NASD-2002-049 Revisions to Series 82 Examination Program
SR-NASD-2006-082 Revisions to the Series 22 Examination Program.
SR-FINRA-2007-027 Revisions to the Series 23 Examination Program
SR-FINRA-2007-028 Revisions to the Series 24 Examination Program
SR-NASD-2006-083 Revisions to the Series 27 Examination Program.
SR-NASD-2006-084 Revisions to the Series 28 Examination Program.
SR-NASD-2006-085 Revisions to the Series 39 Examination Program.
SR-NASD-2005-025 Revisions to the Series 4 Examination Program
SR-FINRA-2007-029 Revisions to the Series 42 Examination Program
SR-FINRA-2007-030 Revisions to the Series 55 Examination Program
SR-NASD-2006-086 Revisions to the Series 55 Examination Program.
SR-FINRA-2007-031 Revisions to the Series 62 Examination Program
SR-FINRA-2007-032 Revisions to the Series 72 Examination Program
SR-FINRA-2007-033 Revisions to the Series 82 Examination Program
SR-NASD-1998-002 Rule 2860, Option Position Limits: Extension of Hedge Exemption Pilot Program
SR-NASD-2002-002 Rule Change to Amend NASD Code of Procedure Rule 9522
SR-NASD-2006-137 Rule Change to Amend NASD Rule 7010 to Modify Pricing for NASD Members Using the ITS CAES System and Inet Facility, Which are Currently Operated by The Nasdaq Stock Market, Inc. and its Subsidiaries as Facilities of NASD

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